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Lobbyist registration and regulation under the statutes and lobbyist reporting under Chapter Twenty-Three of the Constitutional ethics rules

ETHICS COMMISSION
STATE OF OKLAHOMA
2011
LOBBYIST REGISTRATION
AND REGULATION
under the Statutes
[Sections 1 8 7 .1 and 3 3 4 of Title 2 1
and
Sections 4 2 4 9 through 4 2 5 7 of Title 7 4 of the Oklahoma Statutes]
AND
LOBBYIST REPORTING
under Chapter Twenty-Three of the
CONSTITUTIONAL ETHICS RULES
[Section 2 5 7 :2 3 -1 -1 through 2 3 -1 -3 of the Rules of the Ethics Commission
7 4 O.S. Supp. 2 0 1 0 , Ch. 6 2 , App.]
* * * *
EFFECTIVE JULY 1, 2011
Ethics Commission, 2 3 0 0 N Lincoln Blvd, B5 , Oklahoma Cit y , OK 7 3 1 0 5 -4 8 1 2
2
ABOUT THE COMMISSION
The present Ethics Commission [the " Commission" ] w as established under Art icle XXIX of the
Oklahoma Const itut ion. The Commission is made up of f ive private cit izens, one each appointed by the
Governor, President Pro Tempore of the Senate, Speaker of the House, Chief Just ice of the Supreme Court
and At torney General. It employs seven full-t ime staf f members w ho administer the const itut ional dut ies,
the Act and the rules to implement Art icle XXIX. The annual budget for the agency in f iscal year 2011 is
$647,354.
The Commission is charged, under Art icle XXIX, w ith promulgat ing rules of ethical conduct of state
of f icials and employees, including civil penalt ies for violat ions of such rules. Pursuant to this grant of
authorit y, it regulates the report ing of things of value given to state of f icers and state employees by
lobbyist s and certain other persons. It s mandated funct ion also includes rulemaking w ith respect to ethical
conduct for campaigns for elect ive state of f ice and for campaigns for init iat ives and referenda. It is further
charged w ith invest igat ing and prosecut ing violat ions and recommending civil penalt ies for such in dist rict
court . Under Art icle XXIX, the Commission promulgates rules w hich are presented to the Governor and
each House of the State Legislature. If promulgated rules are not disapproved by joint resolut ion, subject
to veto by the Governor during the legislat ive session for w hich the rules are submit ted, they become
ef fect ive. In the event the Governor vetoes a joint resolut ion disapproving the rules, the procedure is the
same as for the veto of any other bill or joint resolut ion.
Ef fect ive Ethics Commission rules are published in the of f icial statutes of the State. Ef fect ive rules
may be repealed or modif ied by the Commission subject to the same legislat ive and gubernatorial act ion as
for new ly promulgated rules. Ef fect ive Ethics Commission rules may also be repealed or modif ied by the
Legislature under the same procedures.
No act ion w as taken on the Commission' s promulgated rules submit ted on February 8, 1994, result ing
in the rules taking ef fect July 1, 1994. Amendment s to the rules w ere submit ted in the same manner on
the second day of the Legislat ive Sessions in 1995, 1996, 1997, 1998, 1999, 2000, 2001, 2002, 2003,
2004, 2005, 2006, 2007, 2008, 2009, 2010 and 2011. Amendment s took ef fect July 1, 1995, 1996,
1997, 1998, 1999, 2000, 2001, 2002, 2003, 2004, 2005, 2006, 2007, 2008, 2009, 2010 and 2011
respect ively.
Statutory changes in 2004 w ithout an emergency clause took ef fect November 1, 2004. New
lobbyist regist rat ion fees w ere established by the legislat ion. The Commission is the depository for
campaign regist rat ions and report s, statement s of f inancial interest s, as w ell as lobbyist regist rat ions and
report s. It receives informat ion alleging violat ions of rules and, upon invest igat ion, may prosecute in
dist rict court . It issues ethics interpretat ions on both statutes w ithin it s jurisdict ion and pursuant to it s
const itut ional rules.
Inst ruct ions in this manual are provided to assist lobbyist s, lobbyist principals and certain persons
lobbying, seeking to do or doing business w ith or interested in mat ters before or af fect ing a governmental
ent it y in report ing things of value given to state of f icers and state employees. Care has been taken to
make these materials accurate, yet concise. How ever, they cannot be subst ituted for the applicable
statutes, the Rules of the Ethics Commission and Ethics Interpretat ions. The law , rules and interpretat ions
are cont rolling in the event of any conf lict w ith or omission in these materials.
* * Examples of Forms Are Located in the Back of this Manual* *
Laws and lobbyist manual are available on our website at: www.ethics.ok.gov
* * Electronic Filing in Lobbyist Registration, Reporting & Disclosure System* *
www.ok.gov/ethics/lobbyist
ETHICS COMMISSION
2300 North Lincoln Boulevard, Room B5
Oklahoma Cit y, OK 73105-4812
405/521-3451 ! FAX 405/521/4905
3
TABLE OF CONTENTS
About the Commission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Table of Content s. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Registration of Lobbyist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Key Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Reporting by Lobbyists and Other Persons. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Violations – Penalties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Contributions during Legislative Session Prohibited – Criminal penalties. . . . . . . . . . . . . . . . . . . 16
Form L-1 [Lobbyist Regist rat ion]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Form L-2 [Lobbyist or Other Person Gif t Report ]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Form L-3 [Terminat ion of Lobbyist Regist rat ion]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
REGISTRATION OF LOBBYISTS
Who is a lobbyist? A Lobbyist is an individual w ho is:
! employed or retained by another for f inancial or other compensat ion
! to perform services that include lobbying
A lobbyist is not an individual w hose lobbying act ivit ies are only incidental to,
and are not a signif icant part of , the services provided by such individual to the
client .
What is lobbying? Lobbying, or any derivat ive of the w ord, means any oral or w rit ten
communicat ion w ith:
! a member or employee of the Legislature,
! the Governor or an employee of the Governor,
! a member or employee of the Corporat ion Commission, or
! a member or employee of the judiciary
on behalf of a lobbyist principal w ith regard to the passage, defeat , formulat ion,
modif icat ion, interpretat ion, amendment , adopt ion, approval or veto of any
legislat ion, rule, regulat ion, execut ive order or any other program, policy or
posit ion of the state government .
What is a lobbyist
principal?
A lobbyist principal is a person w ho employs or retains another person
! for f inancial or other compensat ion
! to conduct lobbying act ivit ies on behalf of the lobbyist principal.
A lobbyist principal is not an individual member, partner, of f icer or shareholder
of a corporat ion, associat ion, f irm, joint venture, joint stock company,
syndicate, business t rust , estate, t rust , company, partnership, limited
partnership, organizat ion, commit tee, or club, or a group of persons w ho are
voluntarily act ing in concert .
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When to register Every lobbyist shall be required to register w ith the Ethics Commission on a
lobbyist regist rat ion form:
! no later than December 31 of each year or
! w ithin f ive (5) days af ter engaging in lobbying on behalf of one or more
lobbyist principals.
Lobbyist
Registration Fee
Lobbyist must pay a regist rat ion fee of One Hundred Dollars ($100.00) upon
regist rat ion. All monies collected f rom the regist rat ion fee shall be deposited
w ith the State Treasurer to the credit of the Ethics Commission Fund.
Action not
requiring
registration for
lobbying
The follow ing act ion does not require regist rat ion as a lobbyist :
! test imony given before, or submit ted in w rit ing to, a commit tee or
subcommit tee of the Legislature;
! a speech, art icle, publicat ion or other material that is w idely dist ributed,
published in new spapers, magazines or similar publicat ions or broadcast on
radio or television; or
! representat ion of oneself or a client by an at torney act ing in a professional
capacit y as an at torney w ho has entered an appearance in a court
proceeding or quasi-judicial proceeding or a legislat ive or quasi-judicial
proceeding before the Corporat ion Commission.
Persons exempt
from registration
as lobbyists
The follow ing persons are not required to register as lobbyist s:
! an individual appearing before a meet ing of a legislat ive body or execut ive
agency w ho receives no compensat ion for his or her appearance other than
reimbursement f rom the state for expenses and w ho engages in no further
or other lobbying;
! a public or federal of f icial act ing in his or her of f icial capacit y;
! a public employee act ing on behalf of the governmental ent it y by w hich he
or she is employed; and
! any person exercising his or her const itut ional right to pet it ion the
government w ho is not specif ically required by Sect ions 4249 through 4254
of Tit le 74 of the Oklahoma Statutes to register as a lobbyist and w ho
receives no compensat ion or anything of value for lobbying.
Information
required in
registration
The follow ing informat ion is required on the lobbyist regist rat ion form:
! the lobbyist ' s name, business address and telephone number;
! the name and address of each lobbyist principal by w hom the lobbyist is
employed or retained; and
! the date of the regist rat ion.
All regist rat ions f iled must be cert if ied.
5
Expiration, renewal
of registration and
supplemental
registrations
The regist rat ion of each lobbyist shall expire on December 31 of each year
unless the annual regist rat ion fee of One Hundred Dollars ($100.00) is paid
betw een December 1 and 31. The lobbyist expenditure report due for the
previous report ing period must be f iled before the Ethics Commission can renew
a regist rat ion.
Every lobbyist shall f ile a supplemental regist rat ion indicat ing any change in the
informat ion contained in the regist rat ion w ithin tw ent y (20) days af ter the date
of the change.
Termination of
lobbying activity
A person w ho ceases to engage in lobbying shall f ile a w rit ten, verif ied
statement w ith the Ethics Commission acknow ledging the terminat ion of
act ivit ies. The not ice is ef fect ive immediately upon f iling.
A person w ho f iles a not ice of terminat ion must f ile the report s required
pursuant to Chapter 23 of the Rules of the Ethics Commission for any report ing
period during w hich the person w as registered at the t ime the not ice of
terminat ion is ef fect ive.
Public record All regist rat ions are public records and are available for public inspect ion
pursuant to the Open Records Act [5 1 O.S. 2 0 0 1 , § 2 4 A .1 et seq., as amended].
KEY DEFINITIONS
Anything of Value The def init ion of " anything of value" includes, by necessit y, the terms " thing of
value" and " things of value" . These terms, to the extent that considerat ion of
equal or greater value is not received, INCLUDE the follow ing:
! a pecuniary item, including money, or a bank bill or note;
! a promissory note, bill of exchange, order, draf t , w arrant , check, or bond
given for the payment of money;
! a cont ract , agreement , promise, or other obligat ion for an advance,
conveyance, forgiveness of indebtedness, deposit , dist ribut ion, loan,
payment , gif t , pledge, or t ransfer of money;
! a stock, bond, note, or other investment interest in an ent it y;
! a receipt given for the payment of money or other propert y;
! a right in act ion;
! a gif t , tangible good, chat tel, or an interest in a gif t , tangible good, or
chat tel, UNLESS it is returned to the donor or delivered to a charitable
organizat ion w ithin 30 days and not claimed as a tax deduct ion, it is given
by the recipient ' s spouse, child, step-child, parent , step-parent , grandparent ,
step-grandparent , sibling, step-sibling, parent -in-law , sibling-in-law , nephew ,
niece, aunt , uncle, or f irst cousin or the spouse of that individual, w ho is not
serving as an intermediary, or it is accepted by the state or governmental
ent it y under specif ic statutory authorit y;
6
! a loan or forgiveness of indebtedness, unless it is f rom a bank or other
f inancial inst itut ion on terms generally available to the public;
! a w ork of art , ant ique, or collect ible;
! an automobile or other means of personal t ransportat ion;
! real propert y or an interest in real propert y, including t it le to realt y, a fee
simple or part ial interest , present or future, cont ingent or vested in realt y, a
leasehold interest , or other benef icial interest in realt y;
! an honorarium or compensat ion for services unless the honorarium or
compensat ion is paid for by the state government or secured by the state
government under state government cont ract ;
! a rebate or discount in the price of anything of value or the sale or t rade of
something for reasonable compensat ion that w ould ordinarily not be
available to a member of the public, unless the rebate or discount is
available to the public or to a class consist ing of all state government
employees, w hether or not rest ricted on the basis of geographic
considerat ion;
! a promise or of fer of employment ;
! t ransportat ion, lodging or entertainment ; or
! any other thing of value not excluded below .
The terms " anything of value" , " thing of value" and " things of value" DO NOT
INCLUDE:
! a campaign cont ribut ion properly received and reported;
! any books, w rit ten materials, audio tapes, videotapes, or other informat ional
promot ional material related to the performance of a state of f icer' s or state
employee' s of f icial dut ies;
! a gif t that :
1) is not used, and
2) no later than thirt y (30) days af ter receipt , is returned to the donor or
delivered to a charitable organizat ion and is not claimed as a charitable
cont ribut ion for federal income tax purposes;
! a gif t , devise, or inheritance f rom an individual' s spouse, child, step-child,
parent , step-parent , grandparent , step-grandparent , sibling, step-sibling,
parent -in-law , sibling-in-law , nephew , niece, aunt , uncle, or f irst cousin or
the spouse of that individual, if the donor is not act ing as the agent or
intermediary for someone other than a person covered by this provision;
! a plaque or t rophy w ith a value that does not exceed tw o hundred dollars
($200);
7
! modest items of food and ref reshment s, such as sof t drinks, cof fee, and
donut s, of fered other than as part of a meal;
! food and beverage consumed the occasion w hen part icipat ing in a
charitable, civic, or communit y event , or at any event to w hich all members
of the Legislature are invited, w hich bears a relat ionship to the state
of f icer' s or state employee' s of f ice and the of f icer or employee is at tending
in an of f icial capacit y;
! greet ing cards and items w ith lit t le int rinsic value, such as cert if icates,
w hich are intended solely for presentat ion;
! loans f rom banks and other f inancial inst itut ions on terms generally available
to the public;
! opportunit ies and benef it s, including favorable rates and commercial
discount s, available to the public or to a class consist ing of all state
government employees, w hether or not rest ricted on the basis of geographic
considerat ion;
! rew ards and prizes given to compet itors in contest s or event s, including
random draw ings, w hich are open to the public; rew ards and prizes f rom
contest s or event s w hich are not open to the public are also excepted if the
state of f icer' s or state employee' s ent ry into the contest is required as part
of his of f icial dut ies;
! pension and other benef it s result ing f rom part icipat ion in a ret irement plan
of fered by an employer or former employer of a state of f icer or state
employee;
! anything w hich is paid for by the state government or secured by the state
government under state government cont ract ;
! any gif t accepted by or on behalf of the state of Oklahoma or a
governmental ent it y by the Governor under Sect ion 381 et seq. of Tit le 60
of the Oklahoma Statutes. In order to be deemed accepted, the Governor
must be not if ied in w rit ing of any gif t received by a governmental ent it y, or
person on behalf of a governmental ent it y, w ithin ten (10) days of receipt of
the gif t . Not ice of acceptance must be received f rom the Governor w ithin
the next thirt y (30) days. Upon lack of a response f rom the Governor w ithin
the thirt y (30) days of receipt of the not ice, the gif t is deemed rejected and
must be returned to the donor;
! anything for w hich market value is paid or secured by w rit ten cont ract to be
paid by the state of f icer or state employee no later than 30 days of receipt ;
! t ransportat ion furnished to a state of f icer or state employee for the purpose
of assist ing the of f icer or employee in the performance of the of f icer' s or
employee' s of f icial dut ies and f rom w hich the of f icer or employee receives
only incidental personal benef it s ancillary to said purpose;
! food, t ransportat ion or entertainment provided by a governmental agency or
governmental enterprise of a foreign nat ion as a gesture of hospitalit y;
8
! prescript ion drugs or similar items given to the recipient for dist ribut ion to
pat ient s in need of t reatment w hich are not used by the recipient ;
! a meal or other food served at a meet ing at w hich the state of f icer or state
employee is an invited guest ;
! any gratuit y provided at a meet ing, conference, or seminar by sponsors,
exhibitors, et c., the cost of w hich is not borne by a regist rant to such
meet ing, conference, or seminar, and w hich is available to all regist rant s;
and
! any single item w ith a fair market value not exceeding Ten Dollars ($10.00)
provided to a state of f icer or state employee during a calendar year;
provided, if a donor provides more than one such item to a state of f icer or
state employee during a calendar year, any such addit ional items shall not
be subject to this except ion.
Associated " Associated" , w hen used w ith reference to an ent it y, includes an ent it y in
w hich an individual or a member of his or her immediate family is a director,
of f icer, f iduciary, t rustee, agent , or partner, or ow ns or cont rols, in the
aggregate, at least tw o percent (2%) or a value of f ive thousand dollars
($5,000) of the out standing equit y.
Business " Business" means any corporat ion, limited liabilit y company, partnership, limited
liabilit y partnership, limited partnership, sole proprietorship, f irm, enterprise,
f ranchise, associat ion, self -employed individual, holding company, joint stock
company, receivership, t rust , or any legal ent it y through w hich business is
conducted for prof it .
Business day " Business day" means any day except a Saturday, Sunday or a legal holiday
designated in Sect ion 82.1 of Tit le 25 of the Oklahoma Statutes.
Charitable
organization
" Charitable organizat ion" means an ent it y described in 501 (c) (3) of Tit le 26 of
the United States Code, 26 U.S.C., Sect ion 501 (c) (3), as it current ly exist s or
as it may be amended.
Day " Day" means calendar day, except that in instances w here a report or other
document is required to be f iled w ith the Commission and the calendar day upon
w hich such a report or document must be f iled falls on a day other than a
business day, any such report or document may be f iled on the immediate next
business day.
Economic interest “ Economic interest ” means a personal f inancial interest in a state purchase,
sale, lease, cont ract , opt ion, or other t ransact ion or arrangement involving
propert y or services w hen the person w ho has the economic interest is taking
act ion to inf luence the state purchase, sale, lease, cont ract , opt ion, or other
t ransact ion or arrangement involving propert y or services.
Gift Gif t means “ anything of value” , as def ined above, to the extent that
considerat ion of equal or greater value is not received in exchange therefor.
Governmental
entity
" Governmental ent it y"
1) means any department , commission, authorit y, council, board, bureau,
commit tee, legislat ive body, agency, state benef icial public t rust , or other
9
establishment of the execut ive, legislat ive or judicial branch of the State of
Oklahoma.
2) does not mean ent it ies of polit ical subdivisions of the State of Oklahoma.
Immediate family " Immediate family" means a child under the age of eighteen (18) years residing
in a state of f icer' s or state employee' s household, a spouse of a state of f icer or
state employee, and an individual claimed by the state of f icer or state employee
or the state of f icer' s or state employee' s spouse as a dependent for tax
purposes.
Official action " Of f icial act ion" means any judicial, execut ive, legislat ive or administ rat ive
act ion w hich includes, but is not limited to, the promulgat ion of rules and
regulat ions and the set t ing of rates.
Organization " Organizat ion" means a:
! labor organizat ion;
! collect ive bargaining organizat ion;
! local, state, or nat ional organizat ion to w hich a labor organizat ion pays
membership or per capita fees, based upon it s af f iliat ion and membership; or
! t rade or professional associat ion that receives it s funds exclusively f rom
membership dues or service fees, w hether organized inside or out side the
state.
Person A “ Person” means an individual, corporat ion, limited liabilit y company,
associat ion, proprietorship, f irm, partnership, limited liabilit y partnership, limited
partnership, joint venture, joint stock company, syndicate, business t rust ,
estate, t rust , company, organizat ion, commit tee, or club, or a group of persons
w ho are voluntarily act ing in concert .
State employee " State employee"
! means:
1) an elect ive or appointed of f icer or an employee of any governmental
ent it y, except members of the House of Representat ives or State
Senate; and
2) an employee, other than an adjunct professor, in the service of an
inst itut ion of higher educat ion comprising the Oklahoma State System of
Higher Educat ion.
! does not mean a public member [an individual appointed to a compensated
or uncompensated part -t ime posit ion on a board, commission, council, authorit y,
bureau, commit tee, state benef icial public t rust , or other establishment of the
execut ive, legislat ive or judicial branch of the State of Oklahoma].
State officer State of f icer means an elect ive, appointed or employed of f icer, including a
public member, in the execut ive, judicial or legislat ive branch of the State of
Oklahoma.
10
REPORTING BY LOBBYISTS AND OTHER PERSONS
Who must report:
Lobbyist and
“Other Persons”
The follow ing persons must report things of value given to state of f icers and
employees:
! Lobbyist s
! The follow ing “ other persons” w ho give a thing of value to state of f icers or
state employees the cost of w hich exceeds $10 during any six-month period
[beginning on January 1 and ending June 30 or beginning on July 1 and
ending December 31]:
1) a person w ho is employed or retained by another for f inancial or other
compensat ion to perform services that include promot ing, opposing or
at tempt ing to inf luence any execut ive or administ rat ive act ion by a
governmental ent it y, including, but not limited to, the promulgat ion of
rules and regulat ions and the set t ing of rates, other than an individual
w hose lobbying act ivit ies are only incidental to, and are not a signif icant
part of , the services provided by such individual to the client ;
2) a person w ho is seeking to do business or doing business w ith a
governmental ent it y; or
3) a person w ho has an economic interest in act ions or mat ters before or
af fect ing a governmental ent it y.
Lobbyist s must f ile report s regardless of w hether anything of value is given by
them or by other persons on behalf of them or their lobbyist principals. Persons
at tempt ing to inf luence execut ive or administ rat ive act ions, w ho give a thing or
things of value to state of f icers or state employees of a governmental ent it y the
cost of w hich exceeds $50 in value during a six-month period [1/1 to 6/30 or
7/1 to 12/31], must report the thing/things given on Form L-2 by the same due
dates as lobbyist s. Negat ive report s are not required f rom such persons.
Where to file
reports
Ethics Commission
2300 North Lincoln Boulevard, Room B5
Oklahoma Cit y, OK 73105-4812
(405) 521-3451, FAX (405) 521-4905
ELECTRONICALLY: www.ok.gov/ethics/lobbyist
When to report REPORTS ARE DUE EVERY YEAR BETWEEN:
July 1 and 20 Period covered--January 1 through June 30
AND
January 1 and 20 Period covered--July 1 through December 31
Required reports Every lobbyist and person required to f ile report s must f ile semi-annual report s
w ith the Ethics Commission concerning the act ivit ies specif ied in this sect ion.
Lobbyist s must f ile report s w hether or not he or she or anyone on his or her
behalf , or on behalf of the lobbyist principal(s) for w hich he or she is registered,
has taken any act ion [given things of value] w hich is required to be reported.
11
Persons required to report , but w ho are not lobbyist s, must f ile only in the event
act ion is taken w hich is required to be reported. The report s must be f iled
betw een the f irst and tw ent ieth day of January and the f irst and tw ent ieth day
of July of each calendar year and cover the act ivit ies during the period follow ing
the last report .
What to report –
things of value
exceeding $10
from lobbyists –
exceeding $50
from other persons
REPORTING PERIOD WHAT TO REPORT
Jan. 1 through June 30 things of value given to a state of f icer or state
OR employee, or the immediate family member of a state
July 1 through Dec. 31 of f icer or state employee, the cost (s) of w hich
exceeds ten dollars ($10) in the aggregate during the
6 month period [f if t y dollars ($50) for other persons]
All report s must include informat ion for things of value given to a state of f icer
or state employee, or the immediate family member of a state of f icer or state
employee, by the lobbyist or any lobbyist principal by w hom the lobbyist is
employed or retained or other person the cost s of w hich exceed ten dollars
($10) in the aggregate during a six-month period beginning January 1 and
ending June 30 or beginning July 1 and ending December 31 [f if t y dollars $50)
for other persons at tempt ing to inf luence execut ive or administ rat ive act ion.
Notarized signature The report must be signed by the person or lobbyist , w ho shall at test to the
report ' s accuracy and veracit y, and the signature shall be notarized.
Annual limit on
things of value
Lobbyist s or lobbyist principals, or “ other persons” as listed above, shall not
give things of value w hich, in the aggregate, are valued at more than $100
annually to any state of f icer or state employee or the immediate family member
of a state of f icer or state employee w ith the follow ing except ions:
! things of value given by a lobbyist or lobbyist principal, or “ other persons”
as listed above, as a result of or arising out of employment of , or the
lobbyist or lobbyist principal, or other person as listed above, doing business
w ith, a state of f icer or state employee or the recipient ; and
! things of value given by any director, stockholder, partner, agent , af f iliate,
member, employee or of f icer of a lobbyist principal, or “ other persons” as
listed above, if the donor is excepted as a relat ive f rom the def init ion of
“ anything of value” or if there exist s betw een the recipient and the donor a
close personal relat ionship of long standing in w hich the mutual exchange of
gif t s on special occasions, such as holidays or anniversaries has become
customary.
Cash or Cash
Equivalent
Honoraria to
Elective Officers
Prohibited
Except for compensat ion an elect ive of f icer is ent it led to by law for the
performance of of f icial dut ies, an elect ive of f icer is prohibited f rom solicit ing or
accept ing cash, check or cash equivalent compensat ion for an art icle,
appearance or speech, or for part icipat ion at an event , unless the art icle,
appearance or part icipat ion is made as part of the normal course of business in
the of f icer’ s private occupat ion.
Aggregation of
Gifts Requirement
A thing or things of value given by a lobbyist ; the lobbyist principal by w hom
the lobbyist is employed or retained; or a stockholder, partner, agent , af f iliate,
member, employee or of f icer of the lobbyist principal or lobbyist principals by
w hom the lobbyist is employed or retained are aggregated for purposes of the
disclosure threshold and calendar year limit s, regardless of how the thing or
things of value are funded if , and only if , the thing or things of value are given
12
at the specif ic direct ion, and on behalf of , the lobbyist principal. Lobbyist s
principals of cont ract lobbyist s shall not be aggregated together for purposes of
this provision. If more than one lobbyist is retained or employed by a lobbyist
principal, the disclosure and calendar year limit s of the f irst lobbyist to register
on behalf of the lobbyist principal for a calendar year are aggregated w ith each
addit ional lobbyist employed or retained by the same lobbyist principal.
Designation of one
lobbyist to report
and be responsible
for calendar year
limit for lobbyist
principal
Lobbyist principals retaining or employing more than one lobbyist may designate
one lobbyist to f ile the report s required by this sect ion. Such report s shall
include all the informat ion required for things of value given by all lobbyist s, as
w ell as by others w ho are giving on behalf of the lobbyist principal. If the single
report method is used, other lobbyist s represent ing the same lobbyist principal
shall indicate on their report s the ident it y of the individual report ing on behalf of
them for the lobbyist principal, but shall not list those items on their ow n report .
Things of value
prohibited from
regulated to
regulatory
governmental
entity
No state of f icer and no state employee shall, direct ly or indirect ly, ask, demand,
exact , solicit , seek, accept , assign, receive or agree to receive anything of value
individually or for or on behalf of a governmental ent it y f rom a business ent it y,
it s employees, of f icers or board members, or a person w ho has greater than a
ten percent (10%) interest in such ent it y if the rates, charges, prices or fees
charged by the business ent it y are subject to regulat ion by the governmental
ent it y w hich the of f icer or employee serves. This provision does not apply to a
campaign cont ribut ion properly received and reported, w hich is exempt f rom the
def init ion of anything of value in Sect ion 2 of Chapter 1 of this t it le, or to
anything of value accepted on behalf of the state of Oklahoma pursuant to
Subsect ion (e) of this subsect ion.
Exceptions to
reporting and
annual limit
The follow ing things of value are not subject to the annual limit or report ing
requirement for lobbyist s or other persons required to report :
! things of value given by a lobbyist or lobbyist principal as a result of or
arising out of employment of , or the lobbyist or lobbyist principal doing
business w ith a state of f icer or state employee or the recipient ;
! things of value given by any director, stockholder, partner, agent , af f iliate,
member, employee or of f icer of a lobbyist principal as a result of a close
personal relat ionship of long standing in w hich the mutual exchange of gif t s
on special occasions, such as holidays or anniversaries, has become
customary; and
! things of value given to a public member w hen such things of value are not
given as a result of the public member' s status as a public member.
Contents of
reports
The informat ion to be reported shall be as follow s:
! The name and posit ion of the state of f icer or state employee to w hom the
thing of value w as given;
! The date the thing of value w as given;
! The nature of the thing of value given;
! The amount of the expenditure made by the lobbyist or lobbyist principal or
other person for the thing of value; and
13
! The name of the lobbyist principal or lobbyist principals or other person on
w hose behalf the thing of value w as given, if any.
Prohibition against
dividing costs
For purposes of report ing things of value as required by this sect ion, a lobbyist
giving a thing of value on behalf of more than one lobbyist principal shall not
divide the cost of the thing of value by the number of part icipat ing lobbyist
principals. Nor may a lobbyist divide the cost of a thing of value w ith other
lobbyist s for any single expenditure.
Presence of
lobbyist required--
exception
A lobbyist w ho gives a thing of value to a state of f icer or state employee must
be present w hen the thing of value is accepted by the recipient unless the thing
of value is of no more than ten dollars ($10) in value.
Anything of value
from third persons-
-records
A lobbyist shall also report things of value w hen given by other persons on
behalf of the lobbyist or the lobbyist principal at the specif ic direct ion of the
lobbyist or lobbyist principal if they w ere made w ith the know ledge of the
lobbyist . When other persons, including lobbyist principals, give things of value
that the lobbyist is required to report , the other persons shall provide a full,
verif ied account of such things of value to the lobbyist at least seven (7) days
before the report s of the lobbyist s are due to be f iled. When exact values are
not know n and not ascertainable, a good faith est imate of the fair market value
shall be reported.
Campaign
contributions not
reported
Campaign cont ribut ions reported pursuant to the provisions of Chapter 10 of the
Rules of the Ethics Commission are not required to be reported on lobbyist
expenditure report s.
Preservation of
accounts, books,
etc.
Each lobbyist shall obtain and preserve all account s, bills, receipt s, books,
papers, and document s necessary to substant iate the act ivit y report s required to
be made pursuant to this sect ion for four (4) years f rom the date of f iling of the
report s containing the items.
Exceptions to
reporting
Nothing in this sect ion shall prohibit the giving or require the disclosure of the
giving of anything of value by:
! a charitable organizat ion or an organizat ion described in Sect ion 501 (c) of
Tit le 26 of the United States Code, 26 U.S.C., Sect ion 501 (c), as it
current ly exist s or as it may be amended; or
! a tax-exempt professional organizat ion established by state statute or rules
passed by the Oklahoma Supreme Court ,
to a state of f icer or state employee, w ho is an of f icer or director of the
organizat ion, w hen receipt of anything of value result s f rom the state of f icer or
state employee at tending a funct ion, meet ing or seminar on behalf of , or as a
representat ive of , the organizat ion.
Electronic filing of
registrations and
reporting
Manuals for report ing lobbying act ivit y are available in the of f ice of the Ethics
Commission, 2300 N Lincoln Blvd, Rm B5, Oklahoma Cit y, OK 73105-4812,
(405) 521-3451 and on the Commission w ebsite at w w w .ethics.ok.gov . As of
January 1, 2011, regist rat ions and report s must be f iled elect ronically at
w w w .ok.gov/ethics/lobbyist .
14
Influencing
legislation or
official action--
fraud
No person required to be registered under Sect ion 4251 of Tit le 74 of the
Oklahoma Statutes w ho lobbies, for the purpose of inf luencing legislat ion or an
of f icial act ion, may:
! know ingly or w illfully make any false statement or representat ion of the
fact s to a member of the legislat ive branch, judicial branch or execut ive
branch; or
! know ing a document to contain a false statement , cause a copy of the
document to be received by a member of the legislat ive branch, judicial
branch or execut ive branch w ithout not if ying such member in w rit ing of the
t ruth.
Contingent fees--
influencing
legislation or
official action
No person may retain or employ a lobbyist for compensat ion cont ingent in w hole
or in part on the passage or defeat of any of f icial act ion or the approval or veto
of any legislat ion, issuance of an execut ive order or approval or denial of a
pardon or parole by the Governor. No lobbyist may accept any employment or
render any service for compensat ion cont ingent on the passage or defeat of any
legislat ion or the approval or veto of any legislat ion by the Governor. Any
person convicted of violat ing the provisions of this sect ion shall be guilt y of a
felony punishable by a f ine of not more than One Thousand Dollars ($1,000.00)
or by imprisonment in the state penitent iary not exceeding tw o (2) years or by
both such f ine and imprisonment .
Appearance on
floor of legislature
No lobbyist may go on the f loor of either house of the Legislature w hile that
house is in session, except on invitat ion of that house.
Alphabetical files The Ethics Commission shall maintain regist rat ions in a separate, alphabet ical
f ile and make such regist rat ions available to the public for inspect ion.
Prohibited use of
information
No informat ion copied f rom regist rat ion forms required by Sect ion 4250 of Tit le
74 of the Oklahoma Statutes or f rom list s compiled f rom such forms and report s
shall be sold or ut ilized by any person for the purpose of solicit ing campaign
cont ribut ions or selling t icket s to a test imonial or similar fund-raising af fair or for
any commercial purpose.
Additional
compensation for
lobbying--State
officers/employees
No state of f icer or state employee shall receive any addit ional compensat ion or
reimbursement f rom any person for personally engaging in lobbying, other than
compensat ion or reimbursement s provided by law for that member' s job
posit ion.
Loaning money--
State officers/
employees
No state of f icer or state employee shall direct ly or indirect ly borrow money f rom
a lobbyist , or an immediate family member of a lobbyist , or an ent it y cont rolled
by or employing a lobbyist . This prohibit ion does not apply to:
! a loan of money made by a commercial lending inst itut ion, in the regular
course of business, on the same terms ordinarily available to members of the
public, and w hich is not secured or guaranteed by a lobbyist or lobbyist
principal or any other person on behalf of a lobbyist or lobbyist principal; or
! a loan f rom a father, stepfather, father-in-law , mother, stepmother, mother-in-
law , sister, step sister, brother, step brother, child, step child, adopted
child or their spouses.
15
Liability If tw o (2) or more persons are responsible for an inadvertent violat ion of the
Const itut ional Ethics Rules, they are equally liable for a proport ionate share of
the penalt y. If tw o (2) or more persons are responsible for a w illful violat ion,
they are joint ly and severally liable for any civil penalt y.
VIOLATIONS – PENALTIES
Violations of rules–
Civil penalties
Violat ions of the Const itut ional Ethics Rules report ing provisions carry civil
penalt ies. These are as follow s:
Civil penalties for violations. The Commission may recommend to the
dist rict court , and the dist rict court , upon f inding that a respondent has
violated a provision of this t it le, may assess one of the follow ing penalt ies:
! Civil penalties for non-willful violations. A person w ho violates a
provision of this t it le shall be liable for a civil penalt y:
1) not to exceed one thousand dollars ($1,000) per violat ion for
inadvertent disclosure violat ions in regist rat ions, report s or
statement s f iled under Chapters 10, 15, 20 and 23 of the Rules
of the Ethics Commission;
2) not to exceed tw o thousand dollars ($2,000) per violat ion;
a) for inadvertent failure to f ile regist rat ions, report s, statement s or
changes in informat ion relat ing to commit tee of f icer vacancies;
or
b) for inadvertent non-disclosure violat ions;
c) for inadvertent violat ions not included in Subparagraphs (A) or
(B), not to exceed:
i) f if teen thousand dollars ($15,000) per violat ion; or
ii) an amount up to three (3) t imes the amount of the total
amount of an unlaw ful cont ribut ion or expenditure,
w hichever is greater; and
3) Civil penalties for willful violations. A person w ho w illfully violates a
provision of this t it le shall be liable for one or more of the follow ing
civil penalt ies:
a) Fine. A f ine not to exceed f if t y thousand dollars ($50,000);
b) Administrative debarment. In the case of a state of f icer or state
employee w ho has violated Chapter 20 of the Rules of the Ethics
Commission, the person may be prohibited, for not more than
f ive (5) years, f rom making an oral or w rit ten communicat ion or
appearance before, w ith the intent to inf luence, the
governmental ent it y in w hich the former of f icer or employee
served;
4) For violations of Chapter 20 or 23 of the Rules of the Ethics
Commission. The Commission may recommend and the dist rict
court may, upon determinat ion of a violat ion of a provision of
Chapter 20 or 23 of the Rules of the Ethics Commission, subject the
of f icer, employee, or lobbyist to the follow ing:
a) forfeiture of gif t s, receipt s or prof it s obtained through a violat ion
of Chapter 20 or 23 of the Rules of the Ethics Commission;
16
b) voiding of a state act ion obtained through a violat ion of the
Commission' s rules;
c) civil penalt ies as set forth in this subsect ion; or
d) a combinat ion of the penalt ies provided for in this paragraph.
Penalties deposited to General Revenue Fund. A forfeiture, f ine,
reimbursement , penalt y, fee, or other propert y collected by the Commission
as a penalt y or assessment under this t it le shall be deposited w ith the State
Treasurer to the credit of the General Revenue Fund. Tangible personal
propert y other than money collected as a penalt y or assessment under this
t it le shall be deposited w ith and liquidated by the State Treasurer and the
proceeds thereof deposited to the credit of the General Revenue Fund.
Violations of
statues – Criminal
penalties
Any person w ho know ingly and w illfully violates any provision of Sect ion
360 of Tit le 21 and Sect ions 4249 through 4254 of Tit le 74 of the
Oklahoma Statutes or Chapter 23 of the Rules of the Ethics Commission
commit s a misdemeanor. Nothing in Sect ion 360 of Tit le 21 and Sect ions
4249 through 4254 of Tit le 74 of the Oklahoma Statutes relieves a person
of criminal responsibilit y under the law s of this state relat ing to perjury.
Third and
subsequent
violations
Any person w ho know ingly and w illfully violates any provision of Sect ion
360 of Tit le 21 and Sect ions 4249 through 4254 of Tit le 74 of the
Oklahoma Statutes or any provision of Chapter 23 of the Rules of the Ethics
Commission a third and subsequent t ime, in addit ion to any other penalt ies
provided herein, shall be prohibited f rom further lobbying as def ined herein
for a period of f ive (5) years. If any person having been so prohibited,
lobbies w hile prohibited, such person shall be permanent ly prohibited f rom
lobbying and shall be guilt y of a felony.
CONTRIBUTIONS DURING LEGISLATIVE SESSION PROHIBITED –
CRIMINAL PENALTIES
Lobbyist and
lobbyist principal
contributions
prohibited during
legislative sessions
No lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the
Oklahoma Statutes shall make or promise to make a contribution to, or solicit or
promise to solicit a contribution for a member of the Oklahoma Legislature or a
candidate for a state legislative office during any regular legislative session,
beginning the first Monday in February, through its adjournment, and for five (5)
calendar days following sine die adjournment.
A member of the Oklahoma Legislature or a candidate for a state legislative office
shall not intentionally solicit or accept a contribution from a lobbyist or lobbyist
principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes during
any regular legislative session and for five (5) calendar days after sine die
adjournment. For the purposes of this subsection, a candidate shall mean any
person who has filed a statement of organization for a state legislative office
pursuant to Oklahoma Statutes, Title 74, Chapter 62 Appendix, Rule 257:10-1-8.
[21 O.S. Supp. 2010, § 187.1(G)]
Criminal penalties
for violating
contributions
prohibition
Any person who knowingly and willfully violates the contributions prohibition
during legislative sessions, upon conviction, shall be guilty of a misdemeanor
punishable by a fine of not more than One Thousand Dollars ($1,000.00), or by
imprisonment in the county jail for up to one (1) year, or by both such fine and
imprisonment. [21 O.S. Supp. 2010, § 187.1(H)]
State of Oklahoma
FORM EC OFFICE USE 17 LOBBYIST REGISTRATION
THIS REGISTRATION IS VALID UNTIL DECEMBER 31, 2011 UNLESS RENEWED OR TERMINATED EARLIER L-1
A LOBBYIST REGISTRATION FEE OF $100 IS DUE UPON REGISTRATION OR RENEWAL 11/09 EXAMPLE
Please type or print clearly in ink.
1. Lobbyist name: (Include full name).
John Lobbyman
2. Home (or mailing) address Telephone No.
15000 Remarkable Avenue (405) 521-3333
City State Zip No. Assigned by Ethics Comm.
Anyplace OK 73199 L110077
3. Name of business
Association of Oklahoma Window Washers
4. Business address City State Zip Telephone No.
423 Main Street Otherplace Oklahoma 73533 (580) 255-2222
5. Name and address of persons by whom lobbyist is reimbursed, retained or employed to lobby, or on whose behalf the registrant is to lobby:
Association of Oklahoma Window Washers, 423 Main Street, Otherplace, OK 73533
Lobby Firm Consultants, LLC, 200 NE 22nd Street, Capitol City, OK 73105
Big Time Oil & Gas, Inc., Big City, OK 74107
Oklahoma Society of Women Business Owners, 555 Enterprise Street, Progressive, OK 74605
6. To the best of my knowledge and belief, the above is a true and correct statement.
Submitted this 20th day of December 21st , 2009 . Signature of registrant: John Lobbyman
EC Form L-1 (Rev 11/09) SEE INSTRUCTIONS ON REVERSE
18 ETHICS COMMISSION
2300 N LINCOLN BLVD, RM B5 EC
OKLAHOMA CITY, OKLAHOMA 73105-4812 FORM
TELEPHONE (405) 521-3451 * FAX (405) 521-4905 L-1 LOBBYIST REGISTRATION
REV 11/09
INSTRUCTIONS
Please consult Sections 4249 through 4258 of Title 74 of the Oklahoma Statutes when completing this report. Prohibitions on giving contributions during
legislative session are found in Title 21 of the Oklahoma Statutes, Section 187.1. Additional requirements for record keeping, reporting and restrictions on giving
things of value are found in Section 257:1-1-1 et seq. of the Rules of the Ethics Commission, Title 74 of the Oklahoma Statutes, Chapter 62, Appendix.
WHO MUST REGISTER:
A lobbyist is any individual who is employed or retained by another for
financial or other compensation to perform services that include lobbying,
other than an individual whose lobbying activities are only incidental to, and
are not a significant part of, the services.
ACTIONS EXEMPT FROM REGISTRATION:
! testimony given before, or submitted in writing to, a committee or
subcommittee of the Legislature;
! a speech, article, publication or other material that is widely distributed,
published in newspapers, magazines or similar publications or broadcast
on radio or television; and
! representation of oneself or a client by an attorney acting in a
professional capacity as an attorney who has entered an appearance in a
court proceeding or quasi-judicial proceeding or a legislative or quasi-judicial
proceeding before the Corporation Commission.
Persons exempt from registration as lobbyists
! an individual appearing before a meeting of a legislative body or
executive agency who receives no compensation for his or her
appearance other than reimbursement from the state for expenses and
who engages in no further or other lobbying;
! a public or federal official acting in his or her official capacity;
! a public employee acting on behalf of the governmental entity by which
he or she is employed; and
! any person exercising his or her constitutional right to petition the
government who is not specifically required by statute to register as a
lobbyist and who receives no compensation nor anything of value for
lobbying;
WHEN TO REGISTER AND LOBBYIST REGISTRATION FEE:
! no later than December 31 of each year or
! within five (5) days after engaging in lobbying on behalf of one or more
lobbyist principals and
! payment of a registration fee of $100 payable to the Ethics Commission
EC FORM L-1BACK (REV. 011/09)
REPORTS OF THINGS OF VALUE TO STATE OFFICERS OR
EMPLOYEES
Each lobbyist must file gift reports ["Form L-2"], whether or not any things
of value are given, between the first and twentieth day of January and the first
and twentieth day of July of each calendar year covering the previous six-month
period. Other persons must file if they give things of value exceeding
$50 in the aggregate to a state officer or state employee, or the immediate
family member of such state officer or state employee, during a six-month
period.
PRESERVATION OF BOOKS AND ACCOUNTS
Each registered lobbyist is required to maintain and preserve for four
years all accounts, bills, receipts, books, papers, and documents necessary
to substantiate the reports. Such materials are to be available for inspection
upon request of the Commission after reasonable notice.
SUPPLEMENTAL REGISTRATIONS AND TERMINATION OF ACTIVITIES
Every lobbyist shall file a supplemental registration indicating any change
in the information within 20 days after the date of the change. A person who
ceases to engage in lobbying must file a written, verified statement with the
Commission acknowledging the termination of activities [on "Form L-3"]. The
Form L-2 [lobbyist or other person gift report] must be filed for the period in
which termination occurs.
PENALTIES
! See civil penalties in Section 257:1-1-11 of the Rules and
! See criminal penalties in Sections 187.1 and 334 of Title 21 and 4254
and 4255 of Title 74 of the Oklahoma Statutes.
LOBBYISTS AND LOBBYIST PRINCIPALS prohibited from making
contributions from first day of legislative session through 5 calendar days
after sine die adjournment [21 O.S. Supp. 2010, 187.1 (G) & (H)]
WHERE TO FILE
ETHICS COMMISSION
2300 N Lincoln Blvd, Rm B5
Oklahoma City, Oklahoma 73105-4812
(405) 521-3451 * FAX (405) 521-4905
State of Oklahoma
FORM EC OFFICE USE 19 LOBBYIST OR OTHER PERSON GIFT REPORT
L-2
Please type or print clearly in ink. 11/09
EXAMPLE
1. Date Reports required to be filed with the Ethics Commission between January 1 and January 20
are to cover the period of July 1 through December 31, and reports due between July 1 and
7/20/2011 July 20 are to cover the period of January 1 through June 30.
2. Lobbyist's or other Person's full name (type or print) No. Assigned by Ethics Comm.
Jane Lobbywoman L110255
3. Name and position of state officer or employee Date Nature of thing Amount of the Name of lobbyist principal(s) on whose
who [or whose immediate family member] received given of value given expenditure behalf thing of value was given
the thing(s) of value
Otis Blue Lunch at
Representative 02/15/11 Faculty House $22.78 Oklahoma Association of Dog Owners
Miranda Brown Ticket–College
Senator 03/04/11 Basketball $55.00 Richmont Oil and Gas Corporation
Game
Amy Pink Chamber
Lieutenant Governor 03/23/11 Small Business $25.00 State Small Business Association
Breakfast
Tom White Charity
Corporation Commissioner 04/19/11 Golf Green $60.00 Oklahoma Liver Association
Fees
Joan Black Promotion of Early Education
Senate Executive Assistant 05/13/11 Dinner $45.72 Association
Larry Green
House Director of Committees 05/25/11 Refreshments $13.68 Richmont Oil and Gas Corporation
Jim Gray Lunch at
Director, Department of Transportation 06/16/11 Nona’s $35.88 Connelly Concrete Company, Inc.
Report additional information on plain 8 ½ x 11 paper using this format for each item.
Attach pages to this report. Put your name and the date on all attachments.
4. SIGNATURE. To the best of my knowledge and belief, 5. NOTARIZATION. Subscribed and sworn to before me this 20th day of July ,
the above information is true and correct.
Signature of person filing report Date 20 11 . My commission expires February 18, 2012 .
Jane Lobbywoman 7/20/2011 Nancy Notary [SEAL]
X X SEAL
EC Form L-2 (Rev. 11/09) REPORT NOT ACCEPTABLE WITHOUT SIGNATURE AND NOTARIZATION
20 ETHICS COMMISSION EC FORM
LOBBYIST AND
TELEPHONE (405) 521-3451 ! FAX (405) 521-4905 L-2 OTHER PERSONS GIFT
2300 N LINCOLN BLVD, RM B5 REV. 11/09 REPORT
OKLAHOMA CITY, OKLAHOMA 73105-4812
INSTRUCTIONS
Please consult Sections 4249 through 4258 of Title 74 of the Oklahoma Statutes governing registration and conduct of lobbyists including penalties for violations.
Prohibitions on giving contributions during legislative session are found in Title 21 of the Oklahoma Statutes, Section 187.1. For purposes of this report, consult
Section 257:23-1-1 et seq. of the Rules of the Ethics Commission, Title 74 of the Oklahoma Statutes, Chapter 62, Appendix.
WHO MUST FILE
! Lobbyists
! The following persons who give things of value exceeding $50 in the
aggregate to a state officer or state employee, or the immediate family
member of such state officer or state employee, during any six-month
period:
1) a person who is employed or retained by another for financial or other
compensation to perform services that include promoting, opposing or
attempting to influence any executive or administrative action by a
governmental entity, including, but not limited to, the promulgation of
rules and regulations and the setting of rates, other than an individual
whose lobbying activities are only incidental to, and are not a
significant part of, the services provided by such individual to the client;
2) a person who is seeking to do business or doing business with a
governmental entity; or
3) a person who has an economic interest in actions or matters before or
affecting a governmental entity.
WHEN TO FILE
For period beginning January 1 and ending June 30 July 1 thru 20
For period beginning July 1 and ending December 31 January 1 thru 20
Reports may be filed by mail or delivered to the Commission, but must be
received by the Commission not later than 5:00 p.m. or faxed by midnight on
the day specified for filing in order to be deemed timely filed.
§ 4251. Influencing legislation or official action—Fraud
No lobbyist may:
1. Knowingly or willfully make any false statement or misrepresentation of
the facts to a member of the legislative branch, judicial branch or executive
branch; or
2. Knowing a document to contain a false statement, cause a copy of the
document to be received by a member of the legislative branch, judicial branch
or executive branch without notifying such member in writing of the truth.
EC Form L-2 [Rev. 11/09] Back
WHERE TO FILE: OTHER REPORTS:
Ethics Commission L-1 [lobbyist registration]
2300 N Lincoln Blvd, Rm B5 L-3 [termination of lobbying registration]
Oklahoma City, OK 73105-4812 (405) 521-3451 ! FAX (405) 521-4905
21 § 334. Contingent fees—Influencing legislation or official action
No person may retain or employ a lobbyist for compensation contingent in
whole or in part on the passage or defeat of any official action or the approval or
veto of any legislation, issuance of an executive order or approval or denial of a
pardon or parole by the Governor. No lobbyist may accept any employment or
render any service for compensation contingent on the passage or defeat of any
legislation or the approval or veto of any legislation by the Governor. Any person
convicted of violating the provisions of this section shall be guilty of a felony
punishable by a fine of not more than One Thousand Dollars ($1,000.00) or by
imprisonment in the state penitentiary not exceeding two (2) years or by both such
fine and imprisonment.
74 § 4252. Appearance on floor of Legislature
No lobbyist may go on the floor of either house of the Legislature while that
house is in session, except on invitation of that house.
74 § 4253. Use of registration forms and activity reports
No information copied from registration forms and activities reports or from
lists compiled from such forms and reports shall be sold or utilized by any person
for the purpose of soliciting campaign contributions or selling tickets to a
testimonial or similar fund-raising affair or for any commercial purpose.
74 § 4254. State officers or state employees—Additional compensation for
lobbying
No state officer or state employee shall receive any additional compensation
or reimbursement from any person for personally engaging in lobbying, such as
would require registration under this act, other than compensation or
reimbursements provided by law for that member's job position.
LOBBYISTS AND LOBBYIST PRINCIPALS prohibited from making contributions
from first day of legislative session through 5 calendar days after sine die
adjournment [21 O.S. Supp. 2010, 187.1 (G) & (H)]
STATE OF OKLAHOMA ETHICS COMMISSION No. A ssigned by Et hics Comm. 21
L110077
TERMINATION OF LOBBYIST REGISTRATION
John Lobbyman , hereby terminates his or her regist rat ion as a lobbyist for the
(Name of Lobby ist )
follow ing persons by w hom he or she is reimbursed, retained or employed to lobby, or on w hose behalf he or
she lobbies:
Big Time Oil & Gas, Inc.
EXAMPLE
I understand that a Lobbyist Or Other Persons Gif t Report [" Form L-2" ] is required for any semi-annual
period or port ion thereof in w hich I am a registered lobbyist . I also understand that once I have terminated my
regist rat ion, I must f ile a new Lobbyist Regist rat ion Form w ithin f ive days of lobbying for the above person(s)
or other person(s) in the future. All regist rat ions terminate, unless a renew al regist rat ion fee is paid in advance,
on the last day of December of each year.
August 2, 2011 John Lobbyman
DATE LOBBYIST' S SIGNATURE
VERIFICATION
State of Oklahoma )
Oklahoma Count y ) ss.
John Lobbyman , of law ful age, being f irst duly sw orn, deposes and states that he
or she is the registered lobbyist above named, that he or she has read the foregoing terminat ion of lobbyist
regist rat ion and know s the content s thereof , and that the fact s therein set forth are t rue.
John Lobbyman John Lobbyman
Lobbyist ' s Name (Type or Print ) LOBBYIST' S SIGNATURE
15000 Remarkable Avenue
New Mailing Address (P.O. Box # or St reet ) Subscribed and sw orn to before me this
Anyplace, OK 73199
Cit y, State, Zip Code 2nd day of March , 20 11 .
(405) 521-3333
Dayt ime Phone Number My commission expires June 12, 2012
DELIVER, MAIL OR FAX TO: Ethics Commission (Seal)
2300 N Lincoln Blvd, Rm B5 James Q. Notary
Oklahoma Cit y, OK 73105 Notary Public
(405) 521-3451 ! FAX (405) 521-4905
EC Form L-3 [REV. 11/09]
ETHICS COMMISSION
2300 North Lincoln Boulevard, Room B5
Oklahoma City, OK 73105-4812
(405) 521-3451 ! FAX (405) 521-4905
E-mail: Marilyn.Hughes@ethics.ok.gov – Director/Lobbying
Rebecca.Adams@ethics.ok.gov – General Counsel
Darey.Robert s@ethics.ok.gov – Complaint s/Audit s
Pat t i.Bryant@ethics.ok.gov – Campaign Report ing/Assessment s
Suzi.Bryan@ethics.ok.gov – Lobbyist Elect ronic Filing/Website
Janice.Gaf ford@ethics.ok.gov – Financial Disclosure/Elect ronic Filing
Agency Website: www.ethics.ok.gov
Lobbyist Electronic Filing Website: www.ok.gov/ethics/lobbyist

ETHICS COMMISSION
STATE OF OKLAHOMA
2011
LOBBYIST REGISTRATION
AND REGULATION
under the Statutes
[Sections 1 8 7 .1 and 3 3 4 of Title 2 1
and
Sections 4 2 4 9 through 4 2 5 7 of Title 7 4 of the Oklahoma Statutes]
AND
LOBBYIST REPORTING
under Chapter Twenty-Three of the
CONSTITUTIONAL ETHICS RULES
[Section 2 5 7 :2 3 -1 -1 through 2 3 -1 -3 of the Rules of the Ethics Commission
7 4 O.S. Supp. 2 0 1 0 , Ch. 6 2 , App.]
* * * *
EFFECTIVE JULY 1, 2011
Ethics Commission, 2 3 0 0 N Lincoln Blvd, B5 , Oklahoma Cit y , OK 7 3 1 0 5 -4 8 1 2
2
ABOUT THE COMMISSION
The present Ethics Commission [the " Commission" ] w as established under Art icle XXIX of the
Oklahoma Const itut ion. The Commission is made up of f ive private cit izens, one each appointed by the
Governor, President Pro Tempore of the Senate, Speaker of the House, Chief Just ice of the Supreme Court
and At torney General. It employs seven full-t ime staf f members w ho administer the const itut ional dut ies,
the Act and the rules to implement Art icle XXIX. The annual budget for the agency in f iscal year 2011 is
$647,354.
The Commission is charged, under Art icle XXIX, w ith promulgat ing rules of ethical conduct of state
of f icials and employees, including civil penalt ies for violat ions of such rules. Pursuant to this grant of
authorit y, it regulates the report ing of things of value given to state of f icers and state employees by
lobbyist s and certain other persons. It s mandated funct ion also includes rulemaking w ith respect to ethical
conduct for campaigns for elect ive state of f ice and for campaigns for init iat ives and referenda. It is further
charged w ith invest igat ing and prosecut ing violat ions and recommending civil penalt ies for such in dist rict
court . Under Art icle XXIX, the Commission promulgates rules w hich are presented to the Governor and
each House of the State Legislature. If promulgated rules are not disapproved by joint resolut ion, subject
to veto by the Governor during the legislat ive session for w hich the rules are submit ted, they become
ef fect ive. In the event the Governor vetoes a joint resolut ion disapproving the rules, the procedure is the
same as for the veto of any other bill or joint resolut ion.
Ef fect ive Ethics Commission rules are published in the of f icial statutes of the State. Ef fect ive rules
may be repealed or modif ied by the Commission subject to the same legislat ive and gubernatorial act ion as
for new ly promulgated rules. Ef fect ive Ethics Commission rules may also be repealed or modif ied by the
Legislature under the same procedures.
No act ion w as taken on the Commission' s promulgated rules submit ted on February 8, 1994, result ing
in the rules taking ef fect July 1, 1994. Amendment s to the rules w ere submit ted in the same manner on
the second day of the Legislat ive Sessions in 1995, 1996, 1997, 1998, 1999, 2000, 2001, 2002, 2003,
2004, 2005, 2006, 2007, 2008, 2009, 2010 and 2011. Amendment s took ef fect July 1, 1995, 1996,
1997, 1998, 1999, 2000, 2001, 2002, 2003, 2004, 2005, 2006, 2007, 2008, 2009, 2010 and 2011
respect ively.
Statutory changes in 2004 w ithout an emergency clause took ef fect November 1, 2004. New
lobbyist regist rat ion fees w ere established by the legislat ion. The Commission is the depository for
campaign regist rat ions and report s, statement s of f inancial interest s, as w ell as lobbyist regist rat ions and
report s. It receives informat ion alleging violat ions of rules and, upon invest igat ion, may prosecute in
dist rict court . It issues ethics interpretat ions on both statutes w ithin it s jurisdict ion and pursuant to it s
const itut ional rules.
Inst ruct ions in this manual are provided to assist lobbyist s, lobbyist principals and certain persons
lobbying, seeking to do or doing business w ith or interested in mat ters before or af fect ing a governmental
ent it y in report ing things of value given to state of f icers and state employees. Care has been taken to
make these materials accurate, yet concise. How ever, they cannot be subst ituted for the applicable
statutes, the Rules of the Ethics Commission and Ethics Interpretat ions. The law , rules and interpretat ions
are cont rolling in the event of any conf lict w ith or omission in these materials.
* * Examples of Forms Are Located in the Back of this Manual* *
Laws and lobbyist manual are available on our website at: www.ethics.ok.gov
* * Electronic Filing in Lobbyist Registration, Reporting & Disclosure System* *
www.ok.gov/ethics/lobbyist
ETHICS COMMISSION
2300 North Lincoln Boulevard, Room B5
Oklahoma Cit y, OK 73105-4812
405/521-3451 ! FAX 405/521/4905
3
TABLE OF CONTENTS
About the Commission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Table of Content s. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Registration of Lobbyist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Key Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Reporting by Lobbyists and Other Persons. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Violations – Penalties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Contributions during Legislative Session Prohibited – Criminal penalties. . . . . . . . . . . . . . . . . . . 16
Form L-1 [Lobbyist Regist rat ion]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Form L-2 [Lobbyist or Other Person Gif t Report ]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Form L-3 [Terminat ion of Lobbyist Regist rat ion]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
REGISTRATION OF LOBBYISTS
Who is a lobbyist? A Lobbyist is an individual w ho is:
! employed or retained by another for f inancial or other compensat ion
! to perform services that include lobbying
A lobbyist is not an individual w hose lobbying act ivit ies are only incidental to,
and are not a signif icant part of , the services provided by such individual to the
client .
What is lobbying? Lobbying, or any derivat ive of the w ord, means any oral or w rit ten
communicat ion w ith:
! a member or employee of the Legislature,
! the Governor or an employee of the Governor,
! a member or employee of the Corporat ion Commission, or
! a member or employee of the judiciary
on behalf of a lobbyist principal w ith regard to the passage, defeat , formulat ion,
modif icat ion, interpretat ion, amendment , adopt ion, approval or veto of any
legislat ion, rule, regulat ion, execut ive order or any other program, policy or
posit ion of the state government .
What is a lobbyist
principal?
A lobbyist principal is a person w ho employs or retains another person
! for f inancial or other compensat ion
! to conduct lobbying act ivit ies on behalf of the lobbyist principal.
A lobbyist principal is not an individual member, partner, of f icer or shareholder
of a corporat ion, associat ion, f irm, joint venture, joint stock company,
syndicate, business t rust , estate, t rust , company, partnership, limited
partnership, organizat ion, commit tee, or club, or a group of persons w ho are
voluntarily act ing in concert .
4
When to register Every lobbyist shall be required to register w ith the Ethics Commission on a
lobbyist regist rat ion form:
! no later than December 31 of each year or
! w ithin f ive (5) days af ter engaging in lobbying on behalf of one or more
lobbyist principals.
Lobbyist
Registration Fee
Lobbyist must pay a regist rat ion fee of One Hundred Dollars ($100.00) upon
regist rat ion. All monies collected f rom the regist rat ion fee shall be deposited
w ith the State Treasurer to the credit of the Ethics Commission Fund.
Action not
requiring
registration for
lobbying
The follow ing act ion does not require regist rat ion as a lobbyist :
! test imony given before, or submit ted in w rit ing to, a commit tee or
subcommit tee of the Legislature;
! a speech, art icle, publicat ion or other material that is w idely dist ributed,
published in new spapers, magazines or similar publicat ions or broadcast on
radio or television; or
! representat ion of oneself or a client by an at torney act ing in a professional
capacit y as an at torney w ho has entered an appearance in a court
proceeding or quasi-judicial proceeding or a legislat ive or quasi-judicial
proceeding before the Corporat ion Commission.
Persons exempt
from registration
as lobbyists
The follow ing persons are not required to register as lobbyist s:
! an individual appearing before a meet ing of a legislat ive body or execut ive
agency w ho receives no compensat ion for his or her appearance other than
reimbursement f rom the state for expenses and w ho engages in no further
or other lobbying;
! a public or federal of f icial act ing in his or her of f icial capacit y;
! a public employee act ing on behalf of the governmental ent it y by w hich he
or she is employed; and
! any person exercising his or her const itut ional right to pet it ion the
government w ho is not specif ically required by Sect ions 4249 through 4254
of Tit le 74 of the Oklahoma Statutes to register as a lobbyist and w ho
receives no compensat ion or anything of value for lobbying.
Information
required in
registration
The follow ing informat ion is required on the lobbyist regist rat ion form:
! the lobbyist ' s name, business address and telephone number;
! the name and address of each lobbyist principal by w hom the lobbyist is
employed or retained; and
! the date of the regist rat ion.
All regist rat ions f iled must be cert if ied.
5
Expiration, renewal
of registration and
supplemental
registrations
The regist rat ion of each lobbyist shall expire on December 31 of each year
unless the annual regist rat ion fee of One Hundred Dollars ($100.00) is paid
betw een December 1 and 31. The lobbyist expenditure report due for the
previous report ing period must be f iled before the Ethics Commission can renew
a regist rat ion.
Every lobbyist shall f ile a supplemental regist rat ion indicat ing any change in the
informat ion contained in the regist rat ion w ithin tw ent y (20) days af ter the date
of the change.
Termination of
lobbying activity
A person w ho ceases to engage in lobbying shall f ile a w rit ten, verif ied
statement w ith the Ethics Commission acknow ledging the terminat ion of
act ivit ies. The not ice is ef fect ive immediately upon f iling.
A person w ho f iles a not ice of terminat ion must f ile the report s required
pursuant to Chapter 23 of the Rules of the Ethics Commission for any report ing
period during w hich the person w as registered at the t ime the not ice of
terminat ion is ef fect ive.
Public record All regist rat ions are public records and are available for public inspect ion
pursuant to the Open Records Act [5 1 O.S. 2 0 0 1 , § 2 4 A .1 et seq., as amended].
KEY DEFINITIONS
Anything of Value The def init ion of " anything of value" includes, by necessit y, the terms " thing of
value" and " things of value" . These terms, to the extent that considerat ion of
equal or greater value is not received, INCLUDE the follow ing:
! a pecuniary item, including money, or a bank bill or note;
! a promissory note, bill of exchange, order, draf t , w arrant , check, or bond
given for the payment of money;
! a cont ract , agreement , promise, or other obligat ion for an advance,
conveyance, forgiveness of indebtedness, deposit , dist ribut ion, loan,
payment , gif t , pledge, or t ransfer of money;
! a stock, bond, note, or other investment interest in an ent it y;
! a receipt given for the payment of money or other propert y;
! a right in act ion;
! a gif t , tangible good, chat tel, or an interest in a gif t , tangible good, or
chat tel, UNLESS it is returned to the donor or delivered to a charitable
organizat ion w ithin 30 days and not claimed as a tax deduct ion, it is given
by the recipient ' s spouse, child, step-child, parent , step-parent , grandparent ,
step-grandparent , sibling, step-sibling, parent -in-law , sibling-in-law , nephew ,
niece, aunt , uncle, or f irst cousin or the spouse of that individual, w ho is not
serving as an intermediary, or it is accepted by the state or governmental
ent it y under specif ic statutory authorit y;
6
! a loan or forgiveness of indebtedness, unless it is f rom a bank or other
f inancial inst itut ion on terms generally available to the public;
! a w ork of art , ant ique, or collect ible;
! an automobile or other means of personal t ransportat ion;
! real propert y or an interest in real propert y, including t it le to realt y, a fee
simple or part ial interest , present or future, cont ingent or vested in realt y, a
leasehold interest , or other benef icial interest in realt y;
! an honorarium or compensat ion for services unless the honorarium or
compensat ion is paid for by the state government or secured by the state
government under state government cont ract ;
! a rebate or discount in the price of anything of value or the sale or t rade of
something for reasonable compensat ion that w ould ordinarily not be
available to a member of the public, unless the rebate or discount is
available to the public or to a class consist ing of all state government
employees, w hether or not rest ricted on the basis of geographic
considerat ion;
! a promise or of fer of employment ;
! t ransportat ion, lodging or entertainment ; or
! any other thing of value not excluded below .
The terms " anything of value" , " thing of value" and " things of value" DO NOT
INCLUDE:
! a campaign cont ribut ion properly received and reported;
! any books, w rit ten materials, audio tapes, videotapes, or other informat ional
promot ional material related to the performance of a state of f icer' s or state
employee' s of f icial dut ies;
! a gif t that :
1) is not used, and
2) no later than thirt y (30) days af ter receipt , is returned to the donor or
delivered to a charitable organizat ion and is not claimed as a charitable
cont ribut ion for federal income tax purposes;
! a gif t , devise, or inheritance f rom an individual' s spouse, child, step-child,
parent , step-parent , grandparent , step-grandparent , sibling, step-sibling,
parent -in-law , sibling-in-law , nephew , niece, aunt , uncle, or f irst cousin or
the spouse of that individual, if the donor is not act ing as the agent or
intermediary for someone other than a person covered by this provision;
! a plaque or t rophy w ith a value that does not exceed tw o hundred dollars
($200);
7
! modest items of food and ref reshment s, such as sof t drinks, cof fee, and
donut s, of fered other than as part of a meal;
! food and beverage consumed the occasion w hen part icipat ing in a
charitable, civic, or communit y event , or at any event to w hich all members
of the Legislature are invited, w hich bears a relat ionship to the state
of f icer' s or state employee' s of f ice and the of f icer or employee is at tending
in an of f icial capacit y;
! greet ing cards and items w ith lit t le int rinsic value, such as cert if icates,
w hich are intended solely for presentat ion;
! loans f rom banks and other f inancial inst itut ions on terms generally available
to the public;
! opportunit ies and benef it s, including favorable rates and commercial
discount s, available to the public or to a class consist ing of all state
government employees, w hether or not rest ricted on the basis of geographic
considerat ion;
! rew ards and prizes given to compet itors in contest s or event s, including
random draw ings, w hich are open to the public; rew ards and prizes f rom
contest s or event s w hich are not open to the public are also excepted if the
state of f icer' s or state employee' s ent ry into the contest is required as part
of his of f icial dut ies;
! pension and other benef it s result ing f rom part icipat ion in a ret irement plan
of fered by an employer or former employer of a state of f icer or state
employee;
! anything w hich is paid for by the state government or secured by the state
government under state government cont ract ;
! any gif t accepted by or on behalf of the state of Oklahoma or a
governmental ent it y by the Governor under Sect ion 381 et seq. of Tit le 60
of the Oklahoma Statutes. In order to be deemed accepted, the Governor
must be not if ied in w rit ing of any gif t received by a governmental ent it y, or
person on behalf of a governmental ent it y, w ithin ten (10) days of receipt of
the gif t . Not ice of acceptance must be received f rom the Governor w ithin
the next thirt y (30) days. Upon lack of a response f rom the Governor w ithin
the thirt y (30) days of receipt of the not ice, the gif t is deemed rejected and
must be returned to the donor;
! anything for w hich market value is paid or secured by w rit ten cont ract to be
paid by the state of f icer or state employee no later than 30 days of receipt ;
! t ransportat ion furnished to a state of f icer or state employee for the purpose
of assist ing the of f icer or employee in the performance of the of f icer' s or
employee' s of f icial dut ies and f rom w hich the of f icer or employee receives
only incidental personal benef it s ancillary to said purpose;
! food, t ransportat ion or entertainment provided by a governmental agency or
governmental enterprise of a foreign nat ion as a gesture of hospitalit y;
8
! prescript ion drugs or similar items given to the recipient for dist ribut ion to
pat ient s in need of t reatment w hich are not used by the recipient ;
! a meal or other food served at a meet ing at w hich the state of f icer or state
employee is an invited guest ;
! any gratuit y provided at a meet ing, conference, or seminar by sponsors,
exhibitors, et c., the cost of w hich is not borne by a regist rant to such
meet ing, conference, or seminar, and w hich is available to all regist rant s;
and
! any single item w ith a fair market value not exceeding Ten Dollars ($10.00)
provided to a state of f icer or state employee during a calendar year;
provided, if a donor provides more than one such item to a state of f icer or
state employee during a calendar year, any such addit ional items shall not
be subject to this except ion.
Associated " Associated" , w hen used w ith reference to an ent it y, includes an ent it y in
w hich an individual or a member of his or her immediate family is a director,
of f icer, f iduciary, t rustee, agent , or partner, or ow ns or cont rols, in the
aggregate, at least tw o percent (2%) or a value of f ive thousand dollars
($5,000) of the out standing equit y.
Business " Business" means any corporat ion, limited liabilit y company, partnership, limited
liabilit y partnership, limited partnership, sole proprietorship, f irm, enterprise,
f ranchise, associat ion, self -employed individual, holding company, joint stock
company, receivership, t rust , or any legal ent it y through w hich business is
conducted for prof it .
Business day " Business day" means any day except a Saturday, Sunday or a legal holiday
designated in Sect ion 82.1 of Tit le 25 of the Oklahoma Statutes.
Charitable
organization
" Charitable organizat ion" means an ent it y described in 501 (c) (3) of Tit le 26 of
the United States Code, 26 U.S.C., Sect ion 501 (c) (3), as it current ly exist s or
as it may be amended.
Day " Day" means calendar day, except that in instances w here a report or other
document is required to be f iled w ith the Commission and the calendar day upon
w hich such a report or document must be f iled falls on a day other than a
business day, any such report or document may be f iled on the immediate next
business day.
Economic interest “ Economic interest ” means a personal f inancial interest in a state purchase,
sale, lease, cont ract , opt ion, or other t ransact ion or arrangement involving
propert y or services w hen the person w ho has the economic interest is taking
act ion to inf luence the state purchase, sale, lease, cont ract , opt ion, or other
t ransact ion or arrangement involving propert y or services.
Gift Gif t means “ anything of value” , as def ined above, to the extent that
considerat ion of equal or greater value is not received in exchange therefor.
Governmental
entity
" Governmental ent it y"
1) means any department , commission, authorit y, council, board, bureau,
commit tee, legislat ive body, agency, state benef icial public t rust , or other
9
establishment of the execut ive, legislat ive or judicial branch of the State of
Oklahoma.
2) does not mean ent it ies of polit ical subdivisions of the State of Oklahoma.
Immediate family " Immediate family" means a child under the age of eighteen (18) years residing
in a state of f icer' s or state employee' s household, a spouse of a state of f icer or
state employee, and an individual claimed by the state of f icer or state employee
or the state of f icer' s or state employee' s spouse as a dependent for tax
purposes.
Official action " Of f icial act ion" means any judicial, execut ive, legislat ive or administ rat ive
act ion w hich includes, but is not limited to, the promulgat ion of rules and
regulat ions and the set t ing of rates.
Organization " Organizat ion" means a:
! labor organizat ion;
! collect ive bargaining organizat ion;
! local, state, or nat ional organizat ion to w hich a labor organizat ion pays
membership or per capita fees, based upon it s af f iliat ion and membership; or
! t rade or professional associat ion that receives it s funds exclusively f rom
membership dues or service fees, w hether organized inside or out side the
state.
Person A “ Person” means an individual, corporat ion, limited liabilit y company,
associat ion, proprietorship, f irm, partnership, limited liabilit y partnership, limited
partnership, joint venture, joint stock company, syndicate, business t rust ,
estate, t rust , company, organizat ion, commit tee, or club, or a group of persons
w ho are voluntarily act ing in concert .
State employee " State employee"
! means:
1) an elect ive or appointed of f icer or an employee of any governmental
ent it y, except members of the House of Representat ives or State
Senate; and
2) an employee, other than an adjunct professor, in the service of an
inst itut ion of higher educat ion comprising the Oklahoma State System of
Higher Educat ion.
! does not mean a public member [an individual appointed to a compensated
or uncompensated part -t ime posit ion on a board, commission, council, authorit y,
bureau, commit tee, state benef icial public t rust , or other establishment of the
execut ive, legislat ive or judicial branch of the State of Oklahoma].
State officer State of f icer means an elect ive, appointed or employed of f icer, including a
public member, in the execut ive, judicial or legislat ive branch of the State of
Oklahoma.
10
REPORTING BY LOBBYISTS AND OTHER PERSONS
Who must report:
Lobbyist and
“Other Persons”
The follow ing persons must report things of value given to state of f icers and
employees:
! Lobbyist s
! The follow ing “ other persons” w ho give a thing of value to state of f icers or
state employees the cost of w hich exceeds $10 during any six-month period
[beginning on January 1 and ending June 30 or beginning on July 1 and
ending December 31]:
1) a person w ho is employed or retained by another for f inancial or other
compensat ion to perform services that include promot ing, opposing or
at tempt ing to inf luence any execut ive or administ rat ive act ion by a
governmental ent it y, including, but not limited to, the promulgat ion of
rules and regulat ions and the set t ing of rates, other than an individual
w hose lobbying act ivit ies are only incidental to, and are not a signif icant
part of , the services provided by such individual to the client ;
2) a person w ho is seeking to do business or doing business w ith a
governmental ent it y; or
3) a person w ho has an economic interest in act ions or mat ters before or
af fect ing a governmental ent it y.
Lobbyist s must f ile report s regardless of w hether anything of value is given by
them or by other persons on behalf of them or their lobbyist principals. Persons
at tempt ing to inf luence execut ive or administ rat ive act ions, w ho give a thing or
things of value to state of f icers or state employees of a governmental ent it y the
cost of w hich exceeds $50 in value during a six-month period [1/1 to 6/30 or
7/1 to 12/31], must report the thing/things given on Form L-2 by the same due
dates as lobbyist s. Negat ive report s are not required f rom such persons.
Where to file
reports
Ethics Commission
2300 North Lincoln Boulevard, Room B5
Oklahoma Cit y, OK 73105-4812
(405) 521-3451, FAX (405) 521-4905
ELECTRONICALLY: www.ok.gov/ethics/lobbyist
When to report REPORTS ARE DUE EVERY YEAR BETWEEN:
July 1 and 20 Period covered--January 1 through June 30
AND
January 1 and 20 Period covered--July 1 through December 31
Required reports Every lobbyist and person required to f ile report s must f ile semi-annual report s
w ith the Ethics Commission concerning the act ivit ies specif ied in this sect ion.
Lobbyist s must f ile report s w hether or not he or she or anyone on his or her
behalf , or on behalf of the lobbyist principal(s) for w hich he or she is registered,
has taken any act ion [given things of value] w hich is required to be reported.
11
Persons required to report , but w ho are not lobbyist s, must f ile only in the event
act ion is taken w hich is required to be reported. The report s must be f iled
betw een the f irst and tw ent ieth day of January and the f irst and tw ent ieth day
of July of each calendar year and cover the act ivit ies during the period follow ing
the last report .
What to report –
things of value
exceeding $10
from lobbyists –
exceeding $50
from other persons
REPORTING PERIOD WHAT TO REPORT
Jan. 1 through June 30 things of value given to a state of f icer or state
OR employee, or the immediate family member of a state
July 1 through Dec. 31 of f icer or state employee, the cost (s) of w hich
exceeds ten dollars ($10) in the aggregate during the
6 month period [f if t y dollars ($50) for other persons]
All report s must include informat ion for things of value given to a state of f icer
or state employee, or the immediate family member of a state of f icer or state
employee, by the lobbyist or any lobbyist principal by w hom the lobbyist is
employed or retained or other person the cost s of w hich exceed ten dollars
($10) in the aggregate during a six-month period beginning January 1 and
ending June 30 or beginning July 1 and ending December 31 [f if t y dollars $50)
for other persons at tempt ing to inf luence execut ive or administ rat ive act ion.
Notarized signature The report must be signed by the person or lobbyist , w ho shall at test to the
report ' s accuracy and veracit y, and the signature shall be notarized.
Annual limit on
things of value
Lobbyist s or lobbyist principals, or “ other persons” as listed above, shall not
give things of value w hich, in the aggregate, are valued at more than $100
annually to any state of f icer or state employee or the immediate family member
of a state of f icer or state employee w ith the follow ing except ions:
! things of value given by a lobbyist or lobbyist principal, or “ other persons”
as listed above, as a result of or arising out of employment of , or the
lobbyist or lobbyist principal, or other person as listed above, doing business
w ith, a state of f icer or state employee or the recipient ; and
! things of value given by any director, stockholder, partner, agent , af f iliate,
member, employee or of f icer of a lobbyist principal, or “ other persons” as
listed above, if the donor is excepted as a relat ive f rom the def init ion of
“ anything of value” or if there exist s betw een the recipient and the donor a
close personal relat ionship of long standing in w hich the mutual exchange of
gif t s on special occasions, such as holidays or anniversaries has become
customary.
Cash or Cash
Equivalent
Honoraria to
Elective Officers
Prohibited
Except for compensat ion an elect ive of f icer is ent it led to by law for the
performance of of f icial dut ies, an elect ive of f icer is prohibited f rom solicit ing or
accept ing cash, check or cash equivalent compensat ion for an art icle,
appearance or speech, or for part icipat ion at an event , unless the art icle,
appearance or part icipat ion is made as part of the normal course of business in
the of f icer’ s private occupat ion.
Aggregation of
Gifts Requirement
A thing or things of value given by a lobbyist ; the lobbyist principal by w hom
the lobbyist is employed or retained; or a stockholder, partner, agent , af f iliate,
member, employee or of f icer of the lobbyist principal or lobbyist principals by
w hom the lobbyist is employed or retained are aggregated for purposes of the
disclosure threshold and calendar year limit s, regardless of how the thing or
things of value are funded if , and only if , the thing or things of value are given
12
at the specif ic direct ion, and on behalf of , the lobbyist principal. Lobbyist s
principals of cont ract lobbyist s shall not be aggregated together for purposes of
this provision. If more than one lobbyist is retained or employed by a lobbyist
principal, the disclosure and calendar year limit s of the f irst lobbyist to register
on behalf of the lobbyist principal for a calendar year are aggregated w ith each
addit ional lobbyist employed or retained by the same lobbyist principal.
Designation of one
lobbyist to report
and be responsible
for calendar year
limit for lobbyist
principal
Lobbyist principals retaining or employing more than one lobbyist may designate
one lobbyist to f ile the report s required by this sect ion. Such report s shall
include all the informat ion required for things of value given by all lobbyist s, as
w ell as by others w ho are giving on behalf of the lobbyist principal. If the single
report method is used, other lobbyist s represent ing the same lobbyist principal
shall indicate on their report s the ident it y of the individual report ing on behalf of
them for the lobbyist principal, but shall not list those items on their ow n report .
Things of value
prohibited from
regulated to
regulatory
governmental
entity
No state of f icer and no state employee shall, direct ly or indirect ly, ask, demand,
exact , solicit , seek, accept , assign, receive or agree to receive anything of value
individually or for or on behalf of a governmental ent it y f rom a business ent it y,
it s employees, of f icers or board members, or a person w ho has greater than a
ten percent (10%) interest in such ent it y if the rates, charges, prices or fees
charged by the business ent it y are subject to regulat ion by the governmental
ent it y w hich the of f icer or employee serves. This provision does not apply to a
campaign cont ribut ion properly received and reported, w hich is exempt f rom the
def init ion of anything of value in Sect ion 2 of Chapter 1 of this t it le, or to
anything of value accepted on behalf of the state of Oklahoma pursuant to
Subsect ion (e) of this subsect ion.
Exceptions to
reporting and
annual limit
The follow ing things of value are not subject to the annual limit or report ing
requirement for lobbyist s or other persons required to report :
! things of value given by a lobbyist or lobbyist principal as a result of or
arising out of employment of , or the lobbyist or lobbyist principal doing
business w ith a state of f icer or state employee or the recipient ;
! things of value given by any director, stockholder, partner, agent , af f iliate,
member, employee or of f icer of a lobbyist principal as a result of a close
personal relat ionship of long standing in w hich the mutual exchange of gif t s
on special occasions, such as holidays or anniversaries, has become
customary; and
! things of value given to a public member w hen such things of value are not
given as a result of the public member' s status as a public member.
Contents of
reports
The informat ion to be reported shall be as follow s:
! The name and posit ion of the state of f icer or state employee to w hom the
thing of value w as given;
! The date the thing of value w as given;
! The nature of the thing of value given;
! The amount of the expenditure made by the lobbyist or lobbyist principal or
other person for the thing of value; and
13
! The name of the lobbyist principal or lobbyist principals or other person on
w hose behalf the thing of value w as given, if any.
Prohibition against
dividing costs
For purposes of report ing things of value as required by this sect ion, a lobbyist
giving a thing of value on behalf of more than one lobbyist principal shall not
divide the cost of the thing of value by the number of part icipat ing lobbyist
principals. Nor may a lobbyist divide the cost of a thing of value w ith other
lobbyist s for any single expenditure.
Presence of
lobbyist required--
exception
A lobbyist w ho gives a thing of value to a state of f icer or state employee must
be present w hen the thing of value is accepted by the recipient unless the thing
of value is of no more than ten dollars ($10) in value.
Anything of value
from third persons-
-records
A lobbyist shall also report things of value w hen given by other persons on
behalf of the lobbyist or the lobbyist principal at the specif ic direct ion of the
lobbyist or lobbyist principal if they w ere made w ith the know ledge of the
lobbyist . When other persons, including lobbyist principals, give things of value
that the lobbyist is required to report , the other persons shall provide a full,
verif ied account of such things of value to the lobbyist at least seven (7) days
before the report s of the lobbyist s are due to be f iled. When exact values are
not know n and not ascertainable, a good faith est imate of the fair market value
shall be reported.
Campaign
contributions not
reported
Campaign cont ribut ions reported pursuant to the provisions of Chapter 10 of the
Rules of the Ethics Commission are not required to be reported on lobbyist
expenditure report s.
Preservation of
accounts, books,
etc.
Each lobbyist shall obtain and preserve all account s, bills, receipt s, books,
papers, and document s necessary to substant iate the act ivit y report s required to
be made pursuant to this sect ion for four (4) years f rom the date of f iling of the
report s containing the items.
Exceptions to
reporting
Nothing in this sect ion shall prohibit the giving or require the disclosure of the
giving of anything of value by:
! a charitable organizat ion or an organizat ion described in Sect ion 501 (c) of
Tit le 26 of the United States Code, 26 U.S.C., Sect ion 501 (c), as it
current ly exist s or as it may be amended; or
! a tax-exempt professional organizat ion established by state statute or rules
passed by the Oklahoma Supreme Court ,
to a state of f icer or state employee, w ho is an of f icer or director of the
organizat ion, w hen receipt of anything of value result s f rom the state of f icer or
state employee at tending a funct ion, meet ing or seminar on behalf of , or as a
representat ive of , the organizat ion.
Electronic filing of
registrations and
reporting
Manuals for report ing lobbying act ivit y are available in the of f ice of the Ethics
Commission, 2300 N Lincoln Blvd, Rm B5, Oklahoma Cit y, OK 73105-4812,
(405) 521-3451 and on the Commission w ebsite at w w w .ethics.ok.gov . As of
January 1, 2011, regist rat ions and report s must be f iled elect ronically at
w w w .ok.gov/ethics/lobbyist .
14
Influencing
legislation or
official action--
fraud
No person required to be registered under Sect ion 4251 of Tit le 74 of the
Oklahoma Statutes w ho lobbies, for the purpose of inf luencing legislat ion or an
of f icial act ion, may:
! know ingly or w illfully make any false statement or representat ion of the
fact s to a member of the legislat ive branch, judicial branch or execut ive
branch; or
! know ing a document to contain a false statement , cause a copy of the
document to be received by a member of the legislat ive branch, judicial
branch or execut ive branch w ithout not if ying such member in w rit ing of the
t ruth.
Contingent fees--
influencing
legislation or
official action
No person may retain or employ a lobbyist for compensat ion cont ingent in w hole
or in part on the passage or defeat of any of f icial act ion or the approval or veto
of any legislat ion, issuance of an execut ive order or approval or denial of a
pardon or parole by the Governor. No lobbyist may accept any employment or
render any service for compensat ion cont ingent on the passage or defeat of any
legislat ion or the approval or veto of any legislat ion by the Governor. Any
person convicted of violat ing the provisions of this sect ion shall be guilt y of a
felony punishable by a f ine of not more than One Thousand Dollars ($1,000.00)
or by imprisonment in the state penitent iary not exceeding tw o (2) years or by
both such f ine and imprisonment .
Appearance on
floor of legislature
No lobbyist may go on the f loor of either house of the Legislature w hile that
house is in session, except on invitat ion of that house.
Alphabetical files The Ethics Commission shall maintain regist rat ions in a separate, alphabet ical
f ile and make such regist rat ions available to the public for inspect ion.
Prohibited use of
information
No informat ion copied f rom regist rat ion forms required by Sect ion 4250 of Tit le
74 of the Oklahoma Statutes or f rom list s compiled f rom such forms and report s
shall be sold or ut ilized by any person for the purpose of solicit ing campaign
cont ribut ions or selling t icket s to a test imonial or similar fund-raising af fair or for
any commercial purpose.
Additional
compensation for
lobbying--State
officers/employees
No state of f icer or state employee shall receive any addit ional compensat ion or
reimbursement f rom any person for personally engaging in lobbying, other than
compensat ion or reimbursement s provided by law for that member' s job
posit ion.
Loaning money--
State officers/
employees
No state of f icer or state employee shall direct ly or indirect ly borrow money f rom
a lobbyist , or an immediate family member of a lobbyist , or an ent it y cont rolled
by or employing a lobbyist . This prohibit ion does not apply to:
! a loan of money made by a commercial lending inst itut ion, in the regular
course of business, on the same terms ordinarily available to members of the
public, and w hich is not secured or guaranteed by a lobbyist or lobbyist
principal or any other person on behalf of a lobbyist or lobbyist principal; or
! a loan f rom a father, stepfather, father-in-law , mother, stepmother, mother-in-
law , sister, step sister, brother, step brother, child, step child, adopted
child or their spouses.
15
Liability If tw o (2) or more persons are responsible for an inadvertent violat ion of the
Const itut ional Ethics Rules, they are equally liable for a proport ionate share of
the penalt y. If tw o (2) or more persons are responsible for a w illful violat ion,
they are joint ly and severally liable for any civil penalt y.
VIOLATIONS – PENALTIES
Violations of rules–
Civil penalties
Violat ions of the Const itut ional Ethics Rules report ing provisions carry civil
penalt ies. These are as follow s:
Civil penalties for violations. The Commission may recommend to the
dist rict court , and the dist rict court , upon f inding that a respondent has
violated a provision of this t it le, may assess one of the follow ing penalt ies:
! Civil penalties for non-willful violations. A person w ho violates a
provision of this t it le shall be liable for a civil penalt y:
1) not to exceed one thousand dollars ($1,000) per violat ion for
inadvertent disclosure violat ions in regist rat ions, report s or
statement s f iled under Chapters 10, 15, 20 and 23 of the Rules
of the Ethics Commission;
2) not to exceed tw o thousand dollars ($2,000) per violat ion;
a) for inadvertent failure to f ile regist rat ions, report s, statement s or
changes in informat ion relat ing to commit tee of f icer vacancies;
or
b) for inadvertent non-disclosure violat ions;
c) for inadvertent violat ions not included in Subparagraphs (A) or
(B), not to exceed:
i) f if teen thousand dollars ($15,000) per violat ion; or
ii) an amount up to three (3) t imes the amount of the total
amount of an unlaw ful cont ribut ion or expenditure,
w hichever is greater; and
3) Civil penalties for willful violations. A person w ho w illfully violates a
provision of this t it le shall be liable for one or more of the follow ing
civil penalt ies:
a) Fine. A f ine not to exceed f if t y thousand dollars ($50,000);
b) Administrative debarment. In the case of a state of f icer or state
employee w ho has violated Chapter 20 of the Rules of the Ethics
Commission, the person may be prohibited, for not more than
f ive (5) years, f rom making an oral or w rit ten communicat ion or
appearance before, w ith the intent to inf luence, the
governmental ent it y in w hich the former of f icer or employee
served;
4) For violations of Chapter 20 or 23 of the Rules of the Ethics
Commission. The Commission may recommend and the dist rict
court may, upon determinat ion of a violat ion of a provision of
Chapter 20 or 23 of the Rules of the Ethics Commission, subject the
of f icer, employee, or lobbyist to the follow ing:
a) forfeiture of gif t s, receipt s or prof it s obtained through a violat ion
of Chapter 20 or 23 of the Rules of the Ethics Commission;
16
b) voiding of a state act ion obtained through a violat ion of the
Commission' s rules;
c) civil penalt ies as set forth in this subsect ion; or
d) a combinat ion of the penalt ies provided for in this paragraph.
Penalties deposited to General Revenue Fund. A forfeiture, f ine,
reimbursement , penalt y, fee, or other propert y collected by the Commission
as a penalt y or assessment under this t it le shall be deposited w ith the State
Treasurer to the credit of the General Revenue Fund. Tangible personal
propert y other than money collected as a penalt y or assessment under this
t it le shall be deposited w ith and liquidated by the State Treasurer and the
proceeds thereof deposited to the credit of the General Revenue Fund.
Violations of
statues – Criminal
penalties
Any person w ho know ingly and w illfully violates any provision of Sect ion
360 of Tit le 21 and Sect ions 4249 through 4254 of Tit le 74 of the
Oklahoma Statutes or Chapter 23 of the Rules of the Ethics Commission
commit s a misdemeanor. Nothing in Sect ion 360 of Tit le 21 and Sect ions
4249 through 4254 of Tit le 74 of the Oklahoma Statutes relieves a person
of criminal responsibilit y under the law s of this state relat ing to perjury.
Third and
subsequent
violations
Any person w ho know ingly and w illfully violates any provision of Sect ion
360 of Tit le 21 and Sect ions 4249 through 4254 of Tit le 74 of the
Oklahoma Statutes or any provision of Chapter 23 of the Rules of the Ethics
Commission a third and subsequent t ime, in addit ion to any other penalt ies
provided herein, shall be prohibited f rom further lobbying as def ined herein
for a period of f ive (5) years. If any person having been so prohibited,
lobbies w hile prohibited, such person shall be permanent ly prohibited f rom
lobbying and shall be guilt y of a felony.
CONTRIBUTIONS DURING LEGISLATIVE SESSION PROHIBITED –
CRIMINAL PENALTIES
Lobbyist and
lobbyist principal
contributions
prohibited during
legislative sessions
No lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the
Oklahoma Statutes shall make or promise to make a contribution to, or solicit or
promise to solicit a contribution for a member of the Oklahoma Legislature or a
candidate for a state legislative office during any regular legislative session,
beginning the first Monday in February, through its adjournment, and for five (5)
calendar days following sine die adjournment.
A member of the Oklahoma Legislature or a candidate for a state legislative office
shall not intentionally solicit or accept a contribution from a lobbyist or lobbyist
principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes during
any regular legislative session and for five (5) calendar days after sine die
adjournment. For the purposes of this subsection, a candidate shall mean any
person who has filed a statement of organization for a state legislative office
pursuant to Oklahoma Statutes, Title 74, Chapter 62 Appendix, Rule 257:10-1-8.
[21 O.S. Supp. 2010, § 187.1(G)]
Criminal penalties
for violating
contributions
prohibition
Any person who knowingly and willfully violates the contributions prohibition
during legislative sessions, upon conviction, shall be guilty of a misdemeanor
punishable by a fine of not more than One Thousand Dollars ($1,000.00), or by
imprisonment in the county jail for up to one (1) year, or by both such fine and
imprisonment. [21 O.S. Supp. 2010, § 187.1(H)]
State of Oklahoma
FORM EC OFFICE USE 17 LOBBYIST REGISTRATION
THIS REGISTRATION IS VALID UNTIL DECEMBER 31, 2011 UNLESS RENEWED OR TERMINATED EARLIER L-1
A LOBBYIST REGISTRATION FEE OF $100 IS DUE UPON REGISTRATION OR RENEWAL 11/09 EXAMPLE
Please type or print clearly in ink.
1. Lobbyist name: (Include full name).
John Lobbyman
2. Home (or mailing) address Telephone No.
15000 Remarkable Avenue (405) 521-3333
City State Zip No. Assigned by Ethics Comm.
Anyplace OK 73199 L110077
3. Name of business
Association of Oklahoma Window Washers
4. Business address City State Zip Telephone No.
423 Main Street Otherplace Oklahoma 73533 (580) 255-2222
5. Name and address of persons by whom lobbyist is reimbursed, retained or employed to lobby, or on whose behalf the registrant is to lobby:
Association of Oklahoma Window Washers, 423 Main Street, Otherplace, OK 73533
Lobby Firm Consultants, LLC, 200 NE 22nd Street, Capitol City, OK 73105
Big Time Oil & Gas, Inc., Big City, OK 74107
Oklahoma Society of Women Business Owners, 555 Enterprise Street, Progressive, OK 74605
6. To the best of my knowledge and belief, the above is a true and correct statement.
Submitted this 20th day of December 21st , 2009 . Signature of registrant: John Lobbyman
EC Form L-1 (Rev 11/09) SEE INSTRUCTIONS ON REVERSE
18 ETHICS COMMISSION
2300 N LINCOLN BLVD, RM B5 EC
OKLAHOMA CITY, OKLAHOMA 73105-4812 FORM
TELEPHONE (405) 521-3451 * FAX (405) 521-4905 L-1 LOBBYIST REGISTRATION
REV 11/09
INSTRUCTIONS
Please consult Sections 4249 through 4258 of Title 74 of the Oklahoma Statutes when completing this report. Prohibitions on giving contributions during
legislative session are found in Title 21 of the Oklahoma Statutes, Section 187.1. Additional requirements for record keeping, reporting and restrictions on giving
things of value are found in Section 257:1-1-1 et seq. of the Rules of the Ethics Commission, Title 74 of the Oklahoma Statutes, Chapter 62, Appendix.
WHO MUST REGISTER:
A lobbyist is any individual who is employed or retained by another for
financial or other compensation to perform services that include lobbying,
other than an individual whose lobbying activities are only incidental to, and
are not a significant part of, the services.
ACTIONS EXEMPT FROM REGISTRATION:
! testimony given before, or submitted in writing to, a committee or
subcommittee of the Legislature;
! a speech, article, publication or other material that is widely distributed,
published in newspapers, magazines or similar publications or broadcast
on radio or television; and
! representation of oneself or a client by an attorney acting in a
professional capacity as an attorney who has entered an appearance in a
court proceeding or quasi-judicial proceeding or a legislative or quasi-judicial
proceeding before the Corporation Commission.
Persons exempt from registration as lobbyists
! an individual appearing before a meeting of a legislative body or
executive agency who receives no compensation for his or her
appearance other than reimbursement from the state for expenses and
who engages in no further or other lobbying;
! a public or federal official acting in his or her official capacity;
! a public employee acting on behalf of the governmental entity by which
he or she is employed; and
! any person exercising his or her constitutional right to petition the
government who is not specifically required by statute to register as a
lobbyist and who receives no compensation nor anything of value for
lobbying;
WHEN TO REGISTER AND LOBBYIST REGISTRATION FEE:
! no later than December 31 of each year or
! within five (5) days after engaging in lobbying on behalf of one or more
lobbyist principals and
! payment of a registration fee of $100 payable to the Ethics Commission
EC FORM L-1BACK (REV. 011/09)
REPORTS OF THINGS OF VALUE TO STATE OFFICERS OR
EMPLOYEES
Each lobbyist must file gift reports ["Form L-2"], whether or not any things
of value are given, between the first and twentieth day of January and the first
and twentieth day of July of each calendar year covering the previous six-month
period. Other persons must file if they give things of value exceeding
$50 in the aggregate to a state officer or state employee, or the immediate
family member of such state officer or state employee, during a six-month
period.
PRESERVATION OF BOOKS AND ACCOUNTS
Each registered lobbyist is required to maintain and preserve for four
years all accounts, bills, receipts, books, papers, and documents necessary
to substantiate the reports. Such materials are to be available for inspection
upon request of the Commission after reasonable notice.
SUPPLEMENTAL REGISTRATIONS AND TERMINATION OF ACTIVITIES
Every lobbyist shall file a supplemental registration indicating any change
in the information within 20 days after the date of the change. A person who
ceases to engage in lobbying must file a written, verified statement with the
Commission acknowledging the termination of activities [on "Form L-3"]. The
Form L-2 [lobbyist or other person gift report] must be filed for the period in
which termination occurs.
PENALTIES
! See civil penalties in Section 257:1-1-11 of the Rules and
! See criminal penalties in Sections 187.1 and 334 of Title 21 and 4254
and 4255 of Title 74 of the Oklahoma Statutes.
LOBBYISTS AND LOBBYIST PRINCIPALS prohibited from making
contributions from first day of legislative session through 5 calendar days
after sine die adjournment [21 O.S. Supp. 2010, 187.1 (G) & (H)]
WHERE TO FILE
ETHICS COMMISSION
2300 N Lincoln Blvd, Rm B5
Oklahoma City, Oklahoma 73105-4812
(405) 521-3451 * FAX (405) 521-4905
State of Oklahoma
FORM EC OFFICE USE 19 LOBBYIST OR OTHER PERSON GIFT REPORT
L-2
Please type or print clearly in ink. 11/09
EXAMPLE
1. Date Reports required to be filed with the Ethics Commission between January 1 and January 20
are to cover the period of July 1 through December 31, and reports due between July 1 and
7/20/2011 July 20 are to cover the period of January 1 through June 30.
2. Lobbyist's or other Person's full name (type or print) No. Assigned by Ethics Comm.
Jane Lobbywoman L110255
3. Name and position of state officer or employee Date Nature of thing Amount of the Name of lobbyist principal(s) on whose
who [or whose immediate family member] received given of value given expenditure behalf thing of value was given
the thing(s) of value
Otis Blue Lunch at
Representative 02/15/11 Faculty House $22.78 Oklahoma Association of Dog Owners
Miranda Brown Ticket–College
Senator 03/04/11 Basketball $55.00 Richmont Oil and Gas Corporation
Game
Amy Pink Chamber
Lieutenant Governor 03/23/11 Small Business $25.00 State Small Business Association
Breakfast
Tom White Charity
Corporation Commissioner 04/19/11 Golf Green $60.00 Oklahoma Liver Association
Fees
Joan Black Promotion of Early Education
Senate Executive Assistant 05/13/11 Dinner $45.72 Association
Larry Green
House Director of Committees 05/25/11 Refreshments $13.68 Richmont Oil and Gas Corporation
Jim Gray Lunch at
Director, Department of Transportation 06/16/11 Nona’s $35.88 Connelly Concrete Company, Inc.
Report additional information on plain 8 ½ x 11 paper using this format for each item.
Attach pages to this report. Put your name and the date on all attachments.
4. SIGNATURE. To the best of my knowledge and belief, 5. NOTARIZATION. Subscribed and sworn to before me this 20th day of July ,
the above information is true and correct.
Signature of person filing report Date 20 11 . My commission expires February 18, 2012 .
Jane Lobbywoman 7/20/2011 Nancy Notary [SEAL]
X X SEAL
EC Form L-2 (Rev. 11/09) REPORT NOT ACCEPTABLE WITHOUT SIGNATURE AND NOTARIZATION
20 ETHICS COMMISSION EC FORM
LOBBYIST AND
TELEPHONE (405) 521-3451 ! FAX (405) 521-4905 L-2 OTHER PERSONS GIFT
2300 N LINCOLN BLVD, RM B5 REV. 11/09 REPORT
OKLAHOMA CITY, OKLAHOMA 73105-4812
INSTRUCTIONS
Please consult Sections 4249 through 4258 of Title 74 of the Oklahoma Statutes governing registration and conduct of lobbyists including penalties for violations.
Prohibitions on giving contributions during legislative session are found in Title 21 of the Oklahoma Statutes, Section 187.1. For purposes of this report, consult
Section 257:23-1-1 et seq. of the Rules of the Ethics Commission, Title 74 of the Oklahoma Statutes, Chapter 62, Appendix.
WHO MUST FILE
! Lobbyists
! The following persons who give things of value exceeding $50 in the
aggregate to a state officer or state employee, or the immediate family
member of such state officer or state employee, during any six-month
period:
1) a person who is employed or retained by another for financial or other
compensation to perform services that include promoting, opposing or
attempting to influence any executive or administrative action by a
governmental entity, including, but not limited to, the promulgation of
rules and regulations and the setting of rates, other than an individual
whose lobbying activities are only incidental to, and are not a
significant part of, the services provided by such individual to the client;
2) a person who is seeking to do business or doing business with a
governmental entity; or
3) a person who has an economic interest in actions or matters before or
affecting a governmental entity.
WHEN TO FILE
For period beginning January 1 and ending June 30 July 1 thru 20
For period beginning July 1 and ending December 31 January 1 thru 20
Reports may be filed by mail or delivered to the Commission, but must be
received by the Commission not later than 5:00 p.m. or faxed by midnight on
the day specified for filing in order to be deemed timely filed.
§ 4251. Influencing legislation or official action—Fraud
No lobbyist may:
1. Knowingly or willfully make any false statement or misrepresentation of
the facts to a member of the legislative branch, judicial branch or executive
branch; or
2. Knowing a document to contain a false statement, cause a copy of the
document to be received by a member of the legislative branch, judicial branch
or executive branch without notifying such member in writing of the truth.
EC Form L-2 [Rev. 11/09] Back
WHERE TO FILE: OTHER REPORTS:
Ethics Commission L-1 [lobbyist registration]
2300 N Lincoln Blvd, Rm B5 L-3 [termination of lobbying registration]
Oklahoma City, OK 73105-4812 (405) 521-3451 ! FAX (405) 521-4905
21 § 334. Contingent fees—Influencing legislation or official action
No person may retain or employ a lobbyist for compensation contingent in
whole or in part on the passage or defeat of any official action or the approval or
veto of any legislation, issuance of an executive order or approval or denial of a
pardon or parole by the Governor. No lobbyist may accept any employment or
render any service for compensation contingent on the passage or defeat of any
legislation or the approval or veto of any legislation by the Governor. Any person
convicted of violating the provisions of this section shall be guilty of a felony
punishable by a fine of not more than One Thousand Dollars ($1,000.00) or by
imprisonment in the state penitentiary not exceeding two (2) years or by both such
fine and imprisonment.
74 § 4252. Appearance on floor of Legislature
No lobbyist may go on the floor of either house of the Legislature while that
house is in session, except on invitation of that house.
74 § 4253. Use of registration forms and activity reports
No information copied from registration forms and activities reports or from
lists compiled from such forms and reports shall be sold or utilized by any person
for the purpose of soliciting campaign contributions or selling tickets to a
testimonial or similar fund-raising affair or for any commercial purpose.
74 § 4254. State officers or state employees—Additional compensation for
lobbying
No state officer or state employee shall receive any additional compensation
or reimbursement from any person for personally engaging in lobbying, such as
would require registration under this act, other than compensation or
reimbursements provided by law for that member's job position.
LOBBYISTS AND LOBBYIST PRINCIPALS prohibited from making contributions
from first day of legislative session through 5 calendar days after sine die
adjournment [21 O.S. Supp. 2010, 187.1 (G) & (H)]
STATE OF OKLAHOMA ETHICS COMMISSION No. A ssigned by Et hics Comm. 21
L110077
TERMINATION OF LOBBYIST REGISTRATION
John Lobbyman , hereby terminates his or her regist rat ion as a lobbyist for the
(Name of Lobby ist )
follow ing persons by w hom he or she is reimbursed, retained or employed to lobby, or on w hose behalf he or
she lobbies:
Big Time Oil & Gas, Inc.
EXAMPLE
I understand that a Lobbyist Or Other Persons Gif t Report [" Form L-2" ] is required for any semi-annual
period or port ion thereof in w hich I am a registered lobbyist . I also understand that once I have terminated my
regist rat ion, I must f ile a new Lobbyist Regist rat ion Form w ithin f ive days of lobbying for the above person(s)
or other person(s) in the future. All regist rat ions terminate, unless a renew al regist rat ion fee is paid in advance,
on the last day of December of each year.
August 2, 2011 John Lobbyman
DATE LOBBYIST' S SIGNATURE
VERIFICATION
State of Oklahoma )
Oklahoma Count y ) ss.
John Lobbyman , of law ful age, being f irst duly sw orn, deposes and states that he
or she is the registered lobbyist above named, that he or she has read the foregoing terminat ion of lobbyist
regist rat ion and know s the content s thereof , and that the fact s therein set forth are t rue.
John Lobbyman John Lobbyman
Lobbyist ' s Name (Type or Print ) LOBBYIST' S SIGNATURE
15000 Remarkable Avenue
New Mailing Address (P.O. Box # or St reet ) Subscribed and sw orn to before me this
Anyplace, OK 73199
Cit y, State, Zip Code 2nd day of March , 20 11 .
(405) 521-3333
Dayt ime Phone Number My commission expires June 12, 2012
DELIVER, MAIL OR FAX TO: Ethics Commission (Seal)
2300 N Lincoln Blvd, Rm B5 James Q. Notary
Oklahoma Cit y, OK 73105 Notary Public
(405) 521-3451 ! FAX (405) 521-4905
EC Form L-3 [REV. 11/09]
ETHICS COMMISSION
2300 North Lincoln Boulevard, Room B5
Oklahoma City, OK 73105-4812
(405) 521-3451 ! FAX (405) 521-4905
E-mail: Marilyn.Hughes@ethics.ok.gov – Director/Lobbying
Rebecca.Adams@ethics.ok.gov – General Counsel
Darey.Robert s@ethics.ok.gov – Complaint s/Audit s
Pat t i.Bryant@ethics.ok.gov – Campaign Report ing/Assessment s
Suzi.Bryan@ethics.ok.gov – Lobbyist Elect ronic Filing/Website
Janice.Gaf ford@ethics.ok.gov – Financial Disclosure/Elect ronic Filing
Agency Website: www.ethics.ok.gov
Lobbyist Electronic Filing Website: www.ok.gov/ethics/lobbyist